Advice Quality Assurance Manager

Bentley Recruitment; Gold Coast City; On-site; AUD 120,000 - 170,000; Full time

Benefits offered by this job

Bonus structure (KPI-based)

Flexible start/finish times

Career development opportunities

Job summary

Bentley Recruitment's client, a leading financial planning firm, is seeking an Advice Quality Assurance Manager on the Gold Coast. You will lead pre-delivery QA reviews of advice documents, assess regulatory compliance, and drive continual improvement across the advice process.

You'll collaborate with advisers, paraplanners and compliance leadership to identify risks, provide technical feedback, and ensure files meet licensee and internal standards.

Qualifications

• Strong technical knowledge of financial planning strategies and advice documentation.
• Understanding of financial advice compliance requirements.
• Attention to detail and ability to identify risks in documents.

Responsibilities

• Conduct pre-delivery QA reviews of advice documents and client files.
• Identify compliance risks and opportunities for improvement.
• Provide feedback to advisers and paraplanners to ensure amendments are made.
• Support management of compliance obligations and risk frameworks.

Skills

Technical financial planning knowledge

Regulatory/compliance knowledge

Quality assurance

Risk assessment

Written/verbal feedback

Education

Bachelor's degree in finance/financial planning

Job description

Our client is a highly regarded and rapidly growing financial advice firm with a strong reputation for delivering holistic, fee-for-service financial advice to a diverse client base. With more than 100 employees and 30 advisers, they are seeking an Advice Quality Assurance Manager to join their team and play a critical role in maintaining advice quality and regulatory compliance.

This is an outstanding opportunity for someone who enjoys the technical side of financial planning and wants to take the step into a more compliance focussed position.

The Opportunity

Reporting to the leadership team, you'll act as a key quality assurance and compliance resource across a team of approximately 30 advisers.

Your primary focus will be reviewing and assessing advice documentation before it reaches clients, ensuring all files meet legislative, licensee and internal standards. You'll work closely with advisers, paraplanners and compliance leadership to identify risks, provide technical feedback, and help drive continual improvement across the advice process.

• Conduct pre-delivery quality assurance reviews of advice documents and client files
• Identify compliance risks, technical issues and opportunities for improvement
• Provide feedback to advisers and paraplanners to ensure required amendments are made
• Support the management of compliance obligations, risk frameworks and advice supervision processes

About You

I am keen to speak with professionals with a strong technical understanding of financial planning and are looking to take the step up into compliance.

To be successful, you'll bring:

• Strong technical knowledge of financial planning strategies and advice documentation
• Understanding of financial advice compliance requirements
• Exceptional attention to detail
• Ability to identify risks and inconsistencies within advice documents
• Confidence providing written and verbal feedback to advisers and support teams

What's on Offer?

• Opportunity to step into a compliance focused career path
• Structured training and professional development
• Genuine long-term career progression opportunities
• Flexible start and finish times
• KPI-based discretionary bonus structure
• Collaborative and supportive team environment
• Strong focus on employee wellbeing, recognition and culture
• Growing business with significant expansion plans across Australia

About the Business

Our client is an established financial planning practice with a strong growth trajectory and a vision to become a leading national advice business. The firm provides holistic, fee-for-service financial advice to a broad client base ranging from accumulators and families through to business owners and complex high-net-worth clients.

The culture is a genuine standout. The business invests heavily in its people, provides clear development pathways and rewards performance, making it an attractive environment for advisers looking to grow both professionally and personally.

Please note only shortlisted candidates will be contacted.