Quality Advice Consultant

Apply now Job no: 606309
Work type: Permanent Full Time
Location: Melbourne
Categories: Risk & Compliance, Financial Planning (AMP)

We are currently recruiting for 6 new positions within this team

Working for AMP

Working for AMP means being part of a company that values diverse thinking, encourages collaboration and promotes innovation.  It’s an environment that offers challenging and exciting work as well as opportunities for professional growth. We’re flexible enough to allow you to make the most of your life, both professionally and personally.

We are looking for those that have the courage and agility to navigate changing and complex environments so that we can deliver the best solutions for our customers. We value people with integrity, an innate willingness to help others and an eagerness to perform to the best of their abilities. 

About the Role

The role is designed to check compliance and appropriateness of Financial Advice before it is provided to clients.  This process is called ‘vetting’.

The role is in place to provide a consistently high quality advice validation and planner support service that ensures Statements of Advice (SOAs) and Financial Services Guides (FSG’s) are quality checked in accordance with legislative and licensee policy requirements.

About the Team

The Client Solutions & Advice Services team is accountable for how we develop and deliver quality, compliant, client-focused advice Solutions through advisers in the AMP network and associated Licensees in the Jigsaw network.

Key Responsibilities

  • Review and quality check Statements of Advice (SOA), marketing and other advice documents to ensure compliance, legislative and licensee standards are being met
  • Provide feedback to Financial Planners and AMP Paraplanners to ensure that a compliant and appropriate advice document is available for the client. 
  • Contribute to the continuous improvement of vetting processes by participating in team meetings, providing feedback on and discussing breaches of standards with the team during regular meetings.
  • Maintain and improve current knowledge of industry standards and practices by completing mandatory training and case studies as required
  • Contribute to risk minimisation by identifying potential risks within the vetting processes and discuss possible solutions with the National Manager, Advisory Services & Quality Advice or delegated individuals.

Capabilities & experience

  • Minimum 2 years’ experience within a financial planning organisation (preferably within a  compliance or advice policy role) or within a financial planning practice (preferably as a compliance manager, practice manager or Paraplanner role)
  • Sound knowledge and capacity to apply compliance and legislative requirements and identify risks within the advice documents reviewed
  • Good knowledge of the principles of quality advice provision, regulatory and compliance obligation and risk management.
  • Sound knowledge and understanding of ASIC Regulatory Guides, Corporations Act and other relevant legislation.

Qualification/s required

  • Diploma in Financial Services – DFS (mandatory)
  • Advanced Diploma in Financial Services - ADFS (mandatory)
  • Formal SMSF course training (preferred)
  • Formal Margin Lending accreditation (preferred)
  • Certificate IV in Finance and Mortgage broking or equivalent (preferred)

Wellbeing & Benefits

As a company that values wellbeing, we offer a range of great benefits to support you financially, professionally and personally. These include access to a wide range of flexible working options including the ability to purchase extra leave, retail discounts, onsite wellbeing centre including a gym (Sydney Office), Employee Assistance Program, competitive home loan rates, leading superannuation contribution, discounted financial advice and personal insurance.

Inclusion & Diversity

AMP recognises individual differences and welcomes people from a variety of life and work experiences. The diversity of our people is core to our ability to innovate, grow and to fulfil our collective aspiration of helping people to own their tomorrow. A natural curiosity, a respect for differences and a growth mindset are valued at AMP.

Advertised: AUS Eastern Daylight Time
Applications close: AUS Eastern Daylight Time

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