Compliance Coach - Financial Planning

Recruiter
Randstad Australia
Location
Sydney, New South Wales, Australia
Salary
AU$100,000 - AU$120,000/per year
Posted
21 May 2021
Closes
20 Jun 2021
Ref
90M0448787_1621389570
Compliance Coach - Financial Planning

  • Excellent Salary and Bonus
  • Great Team
  • Flexible work opportunity to right candidates - WFH


The Company ... This is a well-established financial planning business with a significant share of the Australian financial advice market and an unparalleled opportunity has arisen for a driven and energetic Financial Planner to deliver the highest level advice services to their retail branch and affluent customer base.

The Role

You will be working closely with a quality assurance team making sure they are identifying issues and improving their processes. You will also be working with other coaches ensuring the quality of the advice going out to their clients is consistent and also following the dealer group guidelines.

This is a great opportunity to bring your advice industry knowledge into a new role where you are helping financial planners and internal stakeholders produce best interest of the client while ensuring regulatory requirements are being met. You will be helping improve the quality of advice and identifying specific issues.

You will be providing feedback to relevant stakeholders and ensuring that the business is also up to date with industry standards. When identifying inappropriate advice you will be on the front line to escalate it and document it.

This is a crucial role to the business and will ensure the quality of advice is always given to their clients.

Your Experience

  • Strong compliance experience
  • Extensive financial services experience
  • Remediation experience will also be considered
  • RG-146 Compliance


To apply online, please click on the appropriate link. All applications will be strictly confidential.

At Randstad, we are passionate about providing equal employment opportunities and embracing diversity to the benefit of all. We actively encourage applications from any background.

show lessshow more

Compliance Coach - Financial Planning

  • Excellent Salary and Bonus
  • Great Team
  • Flexible work opportunity to right candidates - WFH


The Company

This is a well-established financial planning business with a significant share of the Australian financial advice market and an unparalleled opportunity has arisen for a driven and energetic Financial Planner to deliver the highest level advice services to their retail branch and affluent customer base.

The Role

You will be working closely with a quality assurance team making sure they are identifying issues and improving their processes. You will also be working with other coaches ensuring the quality of the advice going out to their clients is consistent and also following the dealer group guidelines.

This is a great opportunity to bring your advice industry knowledge into a new role where you are helping financial planners and internal stakeholders produce best interest of the client while ensuring regulatory requirements are being met. You will be helping improve the quality of advice and identifying specific issues.

You will be providing feedback to relevant stakeholders and ensuring that the business is also up to date with industry standards. When identifying inappropriate advice you will be on the front line to escalate it and document it.

This is a crucial role to the business and will ensure the quality of advice is always given to their clients.

Your Experience

  • Strong compliance experience
  • Extensive financial services experience
  • Remediation experience will also be considered
  • RG-146 Compliance


... To apply online, please click on the appropriate link. All applications will be strictly confidential.

At Randstad, we are passionate about providing equal employment opportunities and embracing diversity to the benefit of all. We actively encourage applications from any background.

show lessshow more
  • skills

    • compliance and coaching
  • qualifications

    • RG - 146

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