Quality assurance compliance officer - Paraplanning/financial planning Add expected salary to your profile for insights.
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A fast-growing & dynamic company Work from home Compliance-oriented team culture Quality assurance compliance officer We are a regional finalist in the 2024 NSW Business Awards, and a finalist of 2024 Paraplanner of the Year. Our paraplanning services offer strategy formulation, product research, financial modelling, and advice document writing. We are looking for a quality assurance compliance officer to support the paraplanning process and ensure the high quality of services is maintained.
Your new role Review advice documents and other forms prepared by paraplanners, including modelling papers, Statements of Advice (SoA), Records of Advice (RoA), and strategy papers, to ensure they meet the respective licensees' compliance requirements. Ensure the financial modelling is accurate and professionally presented. Write advice documents when required. Improve the internal review process. Coordinate with the compliance manager for review workflow management. Assist with template enhancement where required. Assist with paraplanners' coaching during reviews. Perform other tasks to improve advice document and process quality. About you Ideally, you have a technical paraplanning background with advanced modelling skills across different advice areas and a good understanding of numbers. Strong compliance and vetting knowledge in areas such as Best Interest Duty, fees disclosure, scoping, goals, and product comparison in advice documents. Willing to help enhance the quality of advice documents. Highly developed problem-solving skills and keen eye for detail. Good communication and coordination skills with team members. Self-motivated and disciplined. To be successful You have at least 3+ years of recent paraplanning experience, including writing SoAs with complex strategies and modelling skills (modelling is essential). You are looking to develop your paraplanning skills into compliance areas. If you have experience in both paraplanning and adviser support roles, you will have an advantage. You have a safety home office setup, including a dedicated workspace, fast internet, and 2+ monitors. If this sounds like you, please don't hesitate to apply. We look forward to hearing from you!
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Your application will include the following questions:
Which of the following statements best describes your right to work in Australia? How many years' experience do you have as a compliance officer? How much notice are you required to give your current employer? Do you have experience preparing Statement of Advice (SoA) documents? #J-18808-Ljbffr