Financial Advice QA & Compliance Manager

Bentley Recruitment; Brisbane; On-site; AUD 110,000 - 150,000; Full time

Benefits offered by this job

Discretionary bonus

Flexible hours

Career progression

Great team culture

Job summary

Bentley Recruitment is assisting a respected Australian financial advisory firm in Brisbane to hire an Advice Quality Assurance Manager. You will lead quality assurance and compliance across a team of about 30 advisers, reviewing advice files before delivery and ensuring adherence to legislative, licensee, and internal standards.

You will collaborate with advisers, paraplanners and compliance leadership to identify risks and drive continual improvements in the advice process.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Technical financial planning

Compliance requirements

Attention to detail

Risk identification

Feedback delivery

Job description

Bentley Recruitment is assisting a respected Australian financial advisory firm in Brisbane to hire an Advice Quality Assurance Manager. You will lead quality assurance and compliance across a team of about 30 advisers, reviewing advice files before delivery and ensuring adherence to legislative, licensee, and internal standards.

You will collaborate with advisers, paraplanners and compliance leadership to identify risks and drive continual improvements in the advice process.