File investigations team is responsible for identifying and advising existing or previous customers have been provided with ongoing advice where fees have been paid, through investigation of a customer's financial planning file.

The File Assessor role will involve providing advice and guidance to the advisor's in order to satisfy all external regulatory obligations and internal compliance standards.

Duties will entail -

• Documentation and dissemination of relevant policy and, where necessary, procedures to promote legislative and regulatory compliance
• Ensure current knowledge of changes to the Corporations Law and financial planning industry trends is maintained and that this is communicated to advisors
• Recommend solutions to complex problems which may not have any precedents and guidelines to follow and develop guidelines to promote standards

Suitable candidates will possess -

• 2 years + of relevant experience in financial services firm or advisory business
• An appreciation of regulatory requirements for an advisor network
• A high level understanding of financial planning practices and how they operate
• Proven track record of working in a team environment
• Degree qualification in business or finance related discipline
• Excellent written and verbal communication skills

To apply please click apply or call Katie McPherson on +61 2 82893172 for a confidential discussion.