About the role
We have a permanent opportunity for a Field-Based Auditor to join a team which is accountable for how we develop and deliver quality, compliant, client-focused advice Solutions through our advisers and planners. The Audit team conducts audits of financial planners to ensure the advice is compliant and in the clients’ best interest.
You will be providing a critical focus on regulatory, risk and compliance issues impacting AMP Advice Licensees. Conduct field based audits and support the audit framework to provide superior planner risk & compliance services to AMP licensees ensuring high quality advisory audit services through regulation and supervision of planner practices.
Duties include (but are not limited to):
- Delivery of the adviser audit program by completing adviser reviews, providing accurate feedback and timely written reports to advisers within the AMP Licensees network.
- Execution of the field-based audit program
- Risk issue investigation
- Process improvement
- Participating in compliance and audit projects as directed by our National Audit Manager
Skills & experience
Ideally we are looking for candidates with:
- Good practical experience in a legal, regulatory or compliance function in the Financial Services industry
- Financial services and financial planning business exposure preferred
- Sound knowledge of the compliance process as related to financial planning
- Sound knowledge of the principles of quality advice provision, regulatory and compliance obligation and risk management.
- Sound knowledge and understanding of ASIC Code of Practice, Corporations Act and other relevant legislation.
- Advanced Diploma of Financial Services (ADFS)
- Cert IV in Mortgage Broking (preferred)
- Other Tertiary qualifications relevant to the field of financial planning and advice preferred.
Working for AMP means working for a company that empowers its people to make a difference, while providing the support of a highly talented, experienced team. We understand that it is our customers that make us great. And because people achieve their best in different ways, our culture is flexible and supportive, to give you the freedom to focus on outcomes rather than just processes.
AMP is an organisation like few others. We enjoy a culture that recognises individuality yet encourages collaboration, giving real meaning to our work and making a difference to our people and our customers.
Access a great range of benefits such as flexible working options, retail discounts, social club, onsite gym, competitive home loan rates, leading superannuation contribution, discounted financial advice and personal insurance.