Advice Monitoring Consultant

Advice Monitoring Consultant

14 Jan
|
Robert Walters
|
Melbourne

14 Jan

Robert Walters

Melbourne

Advice Monitoring Consultant

As an Advice Monitoring Consultant, you will deliver complex advice review services for all company Licensees in a newly created Melbourne CBD based team. This will be done through pre-vetting of advice documents through file collection, audit, assurance and investigations delivered effectively and with consistent quality process and compliance outcomes.

Key Responsibilities:

- Assessing and vetting advice and service quality against a range of licensee and regulatory criteria, with a specific focus on the delivery of ongoing advice services
- Documenting assessment outcomes, compensation parameters and further requirements
- Providing expedient high quality feedback of financial planning files






- Effectively communicating with advisers, practice owners and internal stakeholders in way that ensures both the assessment and remediation is comprehensive, timely, fair and transparent
- Providing suitable support to the Advice & Compliance Coaching Team and Leadership Team

Key Requirements:

- Be RG146 compliant as a minimum with DFP/ ADFP as a strong preference
- Minimum 3 year's professional experience in financial services in either an operational or compliance role, with a strong record of achievement.
- Knowledge of recent developments in financial services regulatory change.
- An understanding of licensee obligations, financial planning practices and how they operate.
- Tertiary qualifications in a legal, business or finance related discipline would be desirable
- Understanding of the end-to-end financial planning advice process and documentation requirements.
- Understanding of advisers & investor needs.
- Previous experience in assessing advice compliance, personal financial advice process, wealth management, wealth products, audit or file review
- Understanding of relevant laws and regulations underpinning wealth businesses (e.g. corporations act, ASIC Regulatory Guides, FSC Guidance Notes).
- Paraplanners, Financial Planners and Remediation Officers will be highly regarded.

Based in the central Melbourne CBD office, this organisation offer a variety of benefits that include staff superannuation, discounts, salary packaging and regularly recognise the contribution of employees to our business success.

This role, and the skills you develop in it will set you apart in the Wealth industry and provide an excellent foundation for you to progress from an Advice Monitoring Consultant to a practitioner or leadership roles across the Advice business in areas on coaching and compliance.

To apply please click apply or call Alex Thompson on 03 8628 2169 for a confidential discussion.

As an Advice Monitoring Consultant, you will deliver complex advice review services for all company Licensees in a newly created Melbourne CBD based team. This will be done through pre-vetting of advice documents through file collection, audit, assurance and investigations delivered effectively and with consistent quality process and compliance outcomes.

Key Responsibilities:

- Assessing and vetting advice and service quality against a range of licensee and regulatory criteria, with a specific focus on the delivery of ongoing advice services
- Documenting assessment outcomes, compensation parameters and further requirements
- Providing expedient high quality feedback of financial planning files
- Effectively communicating with advisers, practice owners and internal stakeholders in way that ensures both the assessment and remediation is comprehensive, timely, fair and transparent
- Providing suitable support to the Advice & Compliance Coaching Team and Leadership Team

Key Requirements:

- Be RG146 compliant as a minimum with DFP/ ADFP as a strong preference
- Minimum 3 year's professional experience in financial services in either an operational or compliance role, with a strong record of achievement.
- Knowledge of recent developments in financial services regulatory change.
- An understanding of licensee obligations, financial planning practices and how they operate.
- Tertiary qualifications in a legal, business or finance related discipline would be desirable
- Understanding of the end-to-end financial planning advice process and documentation requirements.
- Understanding of advisers & investor needs.
- Previous experience in assessing advice compliance, personal financial advice process, wealth management, wealth products, audit or file review
- Understanding of relevant laws and regulations underpinning wealth businesses (e.g. corporations act, ASIC Regulatory Guides, FSC Guidance Notes).
- Paraplanners, Financial Planners and Remediation Officers will be highly regarded.

Based in the central Melbourne CBD office, this organisation offer a variety of benefits that include staff superannuation, discounts, salary packaging and regularly recognise the contribution of employees to our business success.

This role, and the skills you develop in it will set you apart in the Wealth industry and provide an excellent foundation for you to progress from an Advice Monitoring Consultant to a practitioner or leadership roles across the Advice business in areas on coaching and compliance.

To apply please click apply or call Alex Thompson on 03 8628 2169 for a confidential discussion.

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