The purpose of this role is to lead and mentor a team of Advice Compliance Specialists to ensure the end to end advice process is embedded consistently across the advice, compliance and implementation teams. You will be responsible for managing the team, their pipeline and any escalations to ensure all supervision and monitoring activities are completed in line with agreed requirements. You will also be responsible for ensuring the controls, process, tools and checklists used within the team continue to meet the needs of the business. The provision of reporting, analysis and insights will also form a critical part of your role providing valuable information to the AMP Assist Leadership 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.
We’re transforming our business, and we need people like you to join us on this journey.
About the role
Your team of Advice Compliance Specialists are directly responsible for the supervision and monitoring of the delivery of compliant advice and providing coaching and feedback to Advisers. These duties represent key risk control measures to ensure that we have a deep understanding of our clients’ needs, deliver advice that is in their best interests and our regulatory obligations are met.
The role will need to work collaboratively across multiple stakeholders to ensure all supervision and monitoring is conducted within SLAs, our compliance obligations are clearly documented and any issues are appropriately escalated and resolved.
Capabilities & Experience
- 5+ years financial services experience in personal financial advice
- Proven track record in a regulatory compliance environment with confidence to work independently, identify and escalate issues where appropriate
- Demonstrable experience in audit, remediation, policy or planning highly regarded
- Advanced Diploma of Financial Planning
- Relevant tertiary qualifications in financial planning or business discipline highly regarded
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.