15 people in Brisbane CBD office
Financial planning experience is essential
Our client is a national organisation with multiple offices in QLD, NSW, ACT and VIC. The Brisbane office consists of 15 people and due to continued success, they are seeking a Compliance Officer to join the team.
As a Compliance Officer, your key duties will include:
Ensuring the quality and compliance framework remains up to date with changing legislation, licensee and group policies;
Quality checking Statements of Advice before being submitted to the client;
Maintaining client files throughout the advice process;
Ensuring a consistent approach to record keeping and file notes; and
Providing coaching, guidance and support to Financial Advisors.
To be successful in this role, you will have:
5 + years’ experience in the Financial Planning industry;
At least one year in a compliance and/or quality role;
Excellent understanding of legislation and ensuring compliance;
Previous experience using Xplan;
Ability to proactively identify and analyse problems and propose practical solutions;
Demonstrated exceptional written and verbal communication and presentation skills; and
Ability to manage competing priorities and plan work efficiently and effectively to meet tight deadlines.
For more information please call Georgina Howlett at u&u on 07 3232 9156 , quoting reference number 19814 . Alternatively, to submit an application, please click below.
Please submit your resume in Word format only.