Financial Advice Quality & Compliance Lead

Bentley Recruitment; Gold Coast City; Vor Ort; AUD 120.000 - 170.000; Vollzeit

Benefits dieser Stelle

Bonus structure (KPI-based)

Flexible start/finish times

Career development opportunities

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Technical financial planning knowledge

Regulatory/compliance knowledge

Quality assurance

Risk assessment

Written/verbal feedback

Ausbildung

Bachelor's degree in finance/financial planning

Jobbeschreibung

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.