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Infocus is a national advisory firm dedicated to empowering advisers with the independence, infrastructure tools, and support they need to grow their businesses.
For over 31 years, we've combined the scale of a leading organisation with the personal touch of a founder-led business, always staying true to our values of respect, integrity, and client-first advice.
We combine leading-edge technology, investment solutions, and a client-centric framework, ensuring advisers have everything they need to deliver exceptional advice.
We pride ourselves on our culture, our commitment to quality advice, and the opportunity we have to make a genuine difference in the lives of our clients.
Our National Head Office is uniquely positioned here on Queensland's Sunshine Coast, with our team of ~70 talented individuals right across Australia in our various state offices.
ABOUT THE ROLE
The Senior Auditor & Team Lead plays a critical role in protecting our licenses and our advisers' businesses.
Our approachable partnership process to assisting our clients, financial advisers, ensures a collaborative compliance culture.
This role will be based in our Brisbane office.
KEY OBJECTIVES
Supporting the team of auditors on adviser queries or meeting escalations.
Support the Executive General Manager of Risk & Compliance with attestations and license reporting.
Conducting advice pre-vetting and auditing to ensure compliance with our Australian Financial Services Licence (AFSL) and Australian Credit Licence (ACL) obligations.
Responding to compliance queries from our adviser network.
Coaching and supporting our advisers and their teams where necessary through constructive feedback and training.
Supporting the development and delivery of Professional Standards across the network including taking part in adviser training via professional development activities.
Engaging with relevant stakeholders.
Delivering an outstanding customer experience to build advocacy and trust.
Contributing to continuous improvement ideas and processes to refine the audit process.
Maintaining accurate and up to date information in the proprietary software system to facilitate provision of accurate reporting, information and feedback to the business.
Influence and negotiate to a high level with internal and external stakeholders.
Ensure team and regulatory standards are met.
Investigating systematic issues and events.
Work with the team to provide required support in all aspects to projects, initiatives and changes within the business.
Providing support to the team and the Head of Professional Standards.
ABOUT YOU
Minimum 2 years' experience in the financial services industry with past Financial Adviser, Client Service Officer, Paraplanner or Auditor role being preferable.
Formal or informal management of team members desired however not required.
Excellent verbal and written communication skills with customer-outcome focus.
Strong analytical and problem-solving skills.
Organisational, time management and prioritising skills.
Exceptional attention to detail.
Experience working with business leaders and other business stakeholders.
Proficient in using the Microsoft Office suite (Excel, PowerPoint, Word).
Strong technical aptitude and ability to quickly learn new software, features and processes.
Answer an adviser query regarding if a fee charged meets the sole purpose test.
Use Co-Pilot to assist in writing a newsletter article for advisers on tips with insurance needs analysis.
Assist an auditor colleague with a best interest assessment before they deliver the audit debrief to the adviser.
Do an induction compliance Teams call session with a new adviser to introduce the team, our audit approach and how to find the training material.
Complete monthly reporting on audit statistics.
WORKING AT INFOCUS
At Infocus we are passionate about providing a workplace that empowers and strengthens our staff.
We challenge each other to be innovative, confident and break down barriers.
We are committed to ensuring we have a strong team culture and some of the ways we do this is by providing:
Team activities and events to encourage cross-team collaboration;
Pens down early on Fridays to socialise;
Commitment to both upskilling team members and advocating for internal promotions first, wherever possible;
Confidential support for you and your family through our Employee Assistance Program;
AIA Vitality membership program, providing discounts & offers for a variety of retail outlets and wellness centres.
JOIN US
If this job sounds like you, we would love to hear from you
APPLICATION QUESTIONS
How many years' experience do you have in the financial services industry?
Which of the following statements best describes your right to work in Australia?
How many years of people management experience do you have?
How many years of auditing experience do you have?
What's your expected annual base salary?
How much notice are you required to give your current employer?
Salary match Number of applicants Skills match
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