Professional Standards Manager

Centrepoint Group of Companies; Gold Coast City; Hybrid; AUD 110,000 - 150,000; Full time

Benefits offered by this job

Excellent Employee Benefits Program

Flexible working arrangements

Open, friendly environment

Career growth in a well-known ASX list

Job summary

Centrepoint Alliance, an ASX-listed financial services company, is seeking a Professional Standards Manager on the Gold Coast to promote high-quality advice and strong compliance across our adviser network. You will monitor AFSL licenses, conduct file audits and pre-vets, and provide practical coaching to lift advice quality.

In this role you will manage escalated compliance queries, identify and address material advice risks, contribute to supervision programs, and deliver training to advisers

Qualifications

• Advanced Diploma of Financial Services or university degree in a related discipline.
• Experience in AFSL compliance, preferably adviser audits.
• Experience as a financial planner, paraplanner or within financial services regulation.
• Strong understanding of the advice process and SOA construction.
• Excellent written and verbal communication skills.
• Ability to influence, provide feedback and handle challenging conversations.
• Strong problem-solving and conflict-management skills.
• Attention to detail and workflow-management abilities.
• Ability to work autonomously within a fast-paced team.
• Experience using financial planning software, with XPLAN preferred.

Responsibilities

• Conduct audits and pre-vets of financial planning advice files.
• Provide clear, constructive feedback and coaching to advisers.
• Determine remediation requirements and support advisers in completing actions.
• Manage escalated compliance queries, approvals and pre-vet disputes.
• Identify, assess and elevate material advice risks.
• Contribute to risk-based supervision programs and quality assurance activities.
• Support breach assessments, incident management and customer remediation matters.
• Calculate customer remediation amounts and maintain records.
• Prepare reporting on advice-quality trends and adviser conduct.
• Deliver onboarding compliance coaching, webinars and training.
• Coach and mentor Professional Standards team members.
• Build relationships with advisers and stakeholders.
• Contribute to continuous improvement of audit methodologies and controls.

Skills

Auditing

Coaching

Communication

Problem solving

Attention to detail

Autonomy

Education

Advanced Diploma of Financial Services

Related university degree

Tools

XPLAN

Job description

Centrepoint Group of Companies – Southport QLD

Make an impact on the quality of financial advice

Join Centrepoint Alliance, an ASX-listed financial services company, as a Professional Standards Manager and play an important role in promoting high-quality advice, strong compliance practices and positive customer outcomes across our adviser network.

Working within the Professional Standards team, you will monitor and supervise Australian Financial Services Licences, conduct advice file audits and pre-vets, support advisers with complex compliance matters, and provide practical coaching to strengthen advice quality.

What you'll be doing

• Conduct audits and pre-vets of financial planning advice files.

• Provide clear, constructive feedback and coaching to advisers.

• Determine remediation requirements and support advisers in completing agreed actions.

• Manage escalated compliance queries, approvals and pre-vet disputes.

• Identify, assess and elevate material advice risks.

• Contribute to risk-based supervision programs, thematic reviews and quality assurance activities.

• Support breach assessments, incident management and customer remediation matters.

• Calculate customer remediation amounts and maintain accurate supporting records.

• Prepare reporting on advice-quality trends, adviser conduct and emerging risks.

• Deliver onboarding compliance coaching, webinars and other training.

• Coach and mentor Professional Standards team members.

• Build strong relationships with advisers and internal stakeholders.

• Contribute to the continuous improvement of audit methodologies, Licensee Standards and supervision controls.

You're right for this if have...

• An Advanced Diploma of Financial Services or a university degree in a related discipline.

• Experience in an AFSL compliance role, preferably conducting adviser audits.

• Experience as a financial planner, paraplanner or within financial services regulation.

• Good understanding of the advice process, and the construction of a Statement of Advice, including advice strategies.

• Strong written and verbal communication skills.

• The confidence to influence, provide feedback and manage challenging conversations.

• Strong problem-solving and conflict-management skills.

• Excellent attention to detail and workflow-management skills.

• The ability to work autonomously and contribute within a fast-paced team.

• Experience using financial planning software, with XPLAN preferred.

What's on Offer?

• Excellent Employee Benefits Program

• A challenging and meaningful role with performance based incentives

• Supportive of flexible working arrangements

• An open, friendly and passionate environment putting our client at the centre of everything that we do

• Growth cycle of business - investing in technology, people and infrastructure

• Opportunity to join a well-known Australian ASX listed company