Compliance/Paraplanning Manager

Advance Recruitment Partners; Brisbane; In loco; AUD 90.000 - 120.000; Tempo pieno

Vantaggi offerti da questo lavoro

2 days WFH after probation

Flexible start/finish times

National Advice business

Descrizione del lavoro

Advance Recruitment Partners in Brisbane seeks a Complaince Manager/Paraplanner to lead paraplanning, oversee compliance across the wealth division and drive process improvements. You will work with advisers, leadership and the licensee to uphold high professional standards and strong client outcomes.

The role combines people leadership, technical expertise and governance, with opportunities to implement AI tools and automation to optimise workflows and ensure accuracy and privacy.

Competenze

• Experience in paraplanning, advice operations, or advice management.
• Strong understanding of financial advice compliance and QA.
• Practical knowledge of Xplan and advice prep systems.
• Excellent planning and prioritisation skills.
• Clear communication with advisers, licensees and stakeholders.
• Interest in AI and automation with focus on privacy and accuracy.
• Collaborative approach focused on client outcomes.

Mansioni

• Lead paraplanning priorities, resources and workflow to deliver high-quality advice documents on time.
• Coach and mentor paraplanners and manage performance expectations.
• Act as escalation point for complex technical questions and workflow challenges.
• Support recruitment and training of Professional Year advisers as needed.
• Prepare Statements of Advice and Records of Advice during peak periods.

Conoscenze

Paraplanning leadership

Compliance management

Xplan knowledge

Stakeholder comms

AI tools interest

Strumenti

Xplan

Descrizione del lavoro

Advance Recruitment Partners – Brisbane QLD

About the opportunity

We’re seeking an Complaince Manager/Paraplanner to take a key leadership role within our Wealth Advisory division. Reporting to the Practice Manager, you’ll oversee paraplanning team performance, workflow and advice quality, while managing compliance across the wealth division. You’ll work closely with advisers, leadership and the licensee to support high professional standards and positive client outcomes. This role combines people leadership, technical expertise and process improvement. You’ll also help evaluate and introduce AI tools and automation to improve how the team works.

What you’ll be doing

Leading and developing the team

• Manage paraplanning priorities, resources and workflow to deliver quality advice documents within agreed timeframes.
• Coach and mentor paraplanners, support career development and manage performance.
• Act as the escalation point for complex technical questions and workflow challenges.
• Support recruitment and assist with the training and supervision of Professional Year advisers where required.
• Prepare Statements of Advice and Records of Advice during peak periods when needed.

Managing compliance and advice quality

• Coordinate compliance requirements with the licensee, advisers, lending managers and auditors.
• Conduct client file audits and work with the team to resolve findings.
• Maintain compliance registers, advice templates, approved product lists and key disclosure documents.
• Translate regulatory and licensee updates into practical processes and training.
• Promote high standards of ethical conduct, client privacy and confidentiality.

Improving systems and processes

• Oversee Xplan and paraplanning systems, including templates, datafeeds, model portfolios and troubleshooting.
• Identify opportunities to simplify workflows and automate routine tasks.
• Work with leadership, IT and the licensee to evaluate and implement AI tools responsibly.
• Train and support the team as new systems and processes are introduced.
• Contribute to divisional planning, projects and longer-term resourcing.

About you

You bring strong technical knowledge of financial advice and paraplanning, alongside the ability to lead people and turn complex requirements into clear, practical solutions. You’ll bring:

• Relevant experience in paraplanning, advice operations or advice management, with experience leading or mentoring others.
• A strong understanding of financial advice compliance, advice documentation and quality assurance.
• Practical knowledge of Xplan and advice preparation systems.
• Strong planning skills and the ability to manage competing priorities.
• Clear communication skills and confidence working with advisers, licensees and other stakeholders.
• An interest in applying AI and automation to financial advice, with sound judgement around accuracy, privacy and compliance.
• A collaborative approach and a commitment to quality client outcomes.

Why consider this role

• This is an opportunity to influence how advice is delivered, develop the capability of a paraplanning team and strategy.
• 2 days WFH after probation
• Flexible start/Finish times
• Be part of a National Advice business