Financial Planning Compliance Manager (Field Audit) recruitment
A leading Wealth Manager is growing their Professional Standards team. The team is responsible for all field reviews of their Australia-wide planner base. This is an opportunity to join a modest but highly skilled team who promote a relationship focused approach to compliance.
The role reports direct to the Head of Professional Standards and will be responsible for a network of Advisors Australia wide. The role is newly created due to growth in the business and will join one other field auditor.
In addition to managing a portfolio of advisors you will be expected to manage all incident reporting and complaints handling. You will also be required to drive regular training and professional development courses for your advisor network and have the opportunity to provide input on a variety of ad-hoc projects.
This opportunity would suit a commercially minded, relationship driven candidate who values transparency, direct interaction with senior business partners and wants to be involved in policy and procedure development. You will have at least 3 years experience in a similar position advising on documentation and policy, be RG 146 compliant and be able to demonstrate an exceptional understanding of the regulatory requirements for the planning space.
For a confidential discussion please Desiree Hemberger on +2 8986 3120 or please apply online via the below link.
