Advice Remediation Manager
Location Melbourne CBDFULL_TIME
Consultant Alex Thompson
Date posted 6 September 2018 2018-09-062018-09-27 financial-services 1 Farrer place Sydney 2000 Robert Walters Australia
The purpose of the Advice Remediation Manager is to assist in remediating the financial services provided by its authorised representatives, working with all relevant stakeholders. The Advice Remediation Manager is an experienced and competent compliance professional with experience in the monitoring and supervision of advice within the financial planning industry.
- Assessing and remediating 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 Remediation Team and Leadership Team
- Ensure the continuous improvement of licensee oversight, identifying trends and issues discovered through the assessment and remediation activity.
- 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.
- Understanding of the end-to-end financial planning advice process and documentation requirements.
- Understanding of advisers & investor needs.
- Understanding of relevant laws and regulations underpinning wealth businesses (e.g. corporations act, ASIC Regulatory Guides, FSC Guidance Notes).
To apply please click apply or call Alex Thompson on 03 8628 2169 for a confidential discussion.