Advice and Compliance Support

Aotearoa New Zealand Association of Social Workers; Auckland; On-site; NZD 60,000 - 85,000; Full time

Job summary

The Adviser Platform (TAP) in New Zealand is seeking an Advice and Compliance Support to join our compliance team. You will support financial advisers to meet Financial Market Authority regulations and ensure robust advice processes.

You’ll review advice, onboard advisers, and help track key compliance metrics. As a paraplanner-focused role, you’ll collaborate with adviser members, maintain strong administration, and contribute to TAP’s mission to provide market-leading management tools for

Qualifications

• Experience supporting financial advisers in insurance, investments, or mortgages.
• Strong written and verbal communication skills.
• Proficient in Google Suite and administration.

Responsibilities

• Review advice to ensure clarity and good outcomes.
• Assist advisers with best practices using provided tools and processes.
• Provide advisers with confidence that their advice and processes are robust.
• Assist with onboarding new advisers and delivering compliance services.
• Address adviser questions, especially documentation of advice.
• Collaborate with adviser businesses to identify gaps and report key compliance metrics.
• Utilise strong administration skills to manage documentation and track metrics.

Skills

Paraplanner experience

Client-facing experience

Team player

Attention to detail

Excellent communication

Tools

Google Suite

Job description

In financial services, compliance is a crucial and ever-evolving aspect of the industry, central to the governance of a financial adviser’s business. Reporting to the Head of Compliance and Advice, you'll play a key role in providing audit and compliance support to ensure financial advisers comply with their Financial Advice Provider (FAP) licence obligations. By developing strong relationships with our adviser members, you’ll contribute to our vision of being New Zealand’s market-leading management platform for financial advisers.

What You’ll Do

As a Advice and Compliance Support, you'll be a key member of our compliance team, responsible for supporting adviser members to ensure they comply with the Financial Market Authorities’ regulations. Your key responsibilities will include:

Reviewing advice to ensure it's easy to understand and delivers good outcomes.

Helping advisers deliver best practices using the provided tools and processes.

Providing advisers with confidence that their advice and processes are robust.

Assisting with onboarding new advisers and delivering compliance services.

Addressing compliance-related queries from advisers, particularly regarding the documentation of advice.

Collaborating with adviser businesses to identify gaps and assist in reporting or tracking key compliance metrics.

Utilising your strong administration skills to manage documentation, track compliance metrics, and support overall team efficiency.

To Be Successful in This Role, You’ll Ideally…

Be an experienced paraplanner with a proven track record of supporting financial advisers in insurance, investments, or mortgages. If you understand what truly good advice looks like and are ready to contribute your expertise, this could be the perfect fit.

Beyond that, you'll also ideally:

Be a team player with a great attitude, while also being self-motivated to work independently.

Have some client-facing experience to provide excellent service to our adviser members.

Have experience working in Personal Risk, Investment, Mortgage, or Fire & General Insurance.

Possess strong written and verbal communication skills.

Be proficient in the Google Suite.

Demonstrate strong administration skills, with attention to detail and the ability to manage multiple tasks efficiently.

Be quick to grasp and confident in navigating tech platforms.

About Us

The Adviser Platform (TAP) is a growing fintech business, offering New Zealand financial advisers a market-leading management platform. We’re genuinely committed to helping independent advisers build and grow their businesses by providing all the tools, processes, and support needed to succeed in today’s market. Founded by a team with extensive experience in financial advice, TAP provides an exceptional administration support team, bespoke CRM, training, and practical regulatory and compliance advice for advisers. Visit our website or LinkedIn to find out more: https://tapnz.co.nz/ https://www.linkedin.com/company/the-adviser-platform/

Your application will include the following questions:

• Which of the following statements best describes your right to work in New Zealand?
• What's your expected annual base salary?
• How many years' experience do you have in the financial services industry?
• How much notice are you required to give your current employer?

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