Provision of Advice Specialist
Description
The role will be primarily focused on maintaining an effective, efficient and regulatory compliant framework for the provision of advice given by Client Advisors in Wealth Management.
The provision of Advice ("PoA") framework includes systems, processes and controls for the provision of advice to clients of WM Australia.
Key responsibilities include updating and managing the support materials, such as internal policies, procedures, manuals and templates, as well as identifying and managing system enhancements to facilitate the process. You will be expected to coordinate regular reviews of POA related controls and documentation. In addition, you will be responsible for the QoA framework, reviewing periodically to ensure it works effectively with the PoA process and co-ordinating and co-operating in all relevant functions to incorporate enhancements to the QoA and PoA process based on learnings from complaints and compliance incidents and breaches.
Assisting Legal Compliance/Markets with complaint analysis where complaint involves possible failure to follow PoA processes is also a part of the role.
New or updated regulatory requirements will need to be understood and evaluated to identify key issues relevant to the provision of advice and any changes to processes or controls will be coordinated in cooperation with all relevant functions.
Your performance will be assessed on the POA process efficiency and control effectiveness.
Requirements
- 8yrs+ relevant experience in a wealth management or related commercial business environment
- A strong background in Business Risk, Market Regulation and hands-on documentation skills required
- Previous experience interacting with senior management and Legal Compliance essential
- Ability to work independently, communicate effectively and meet deadlines
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