Junior Financial Quality Control Officer – J-1762

  • To provide ongoing support to Australian based client in the provision of compliant, quality advice to its clients.
  • Liaise closely with all relevant internal Financial Planning & Loan employees to ensure they are completing and preparing documents in accordance with all compliance standards
  • Play a lead role with the management of all tracking spreadsheets, weekly and monthly reporting to ensure initial and ongoing requirements are met.
  • Play a lead role in ensuring that the client is at the forefront of all regulatory and compliance changes and correct processes are put in place to support these changes
  • Assist with the Training & Development of all new recruits


Specific Responsibilities / Technical Skills:

  • Compliance Objectives:
  • Timely & attentive completion of all Strategy, Review & implementation checklists for all relevant advice documents provided by internal staff
  • Checking all financial planning and credit advice documentation before and after client meetings to guarantee high quality advice.
  • Liaising closely with Client Service Managers, Mortgage Analysts and Wealth Planners to update them with any issues to be corrected prior to the documents being presented to clients
  • Work with Insurance & Investment Implementation Officers as well as Mortgage Analysts to ensure that all Insurance, Investment, Superannuation & Loan Applications have been prepared and lodged correctly as per Advice documents.
  • Continuous update of processes, regulations, and standards.
  • Assisting Practice manager & Loan Client Service Manager to build up compliance processes where necessary.
  • Process quality control to ensure all risks have been covered.
  • Contact with professional teams including lenders and service providers to clarify queries and get a better understanding of standards.
  • Assist with preparation in the lead up to audits.
  • Assist with the weekly scorecard compliance spreadsheet
  • Daily tasks:
  • Statement of advice checking.
  • Pre-Review and Post Review compliance check.
  • Business Lodgment for loans and financial planning compliance check.
  • Updating Scorecard compliance spreadsheet


Qualifications & Experience:

  • Degree qualified in Financial related areas, ie. Business, Commerce, Finance, Accounting
  • Foreign education and work experience preferred
  • Fluent communication in English (written and oral)
  • Have at least 1-2 years relevant experience in same or similar role
  • Need to be adaptive and independent as well as have the ability to critique and provide advice to colleagues in a constructive way
  • Very strong attention to detail and prioritization skills
  • Concentration on objectives, task driven with the ability to think on your feet, have proactive approach and work unsupervised
  • Ability to develop cohesive work environment with team members
  • Have an intermediate knowledge of the Australian Superannuation, Financial Planning, Credit & Banking and Taxation Systems
  • Have an intermediate understanding and knowledge of all areas of Financial Planning & Mortgage Broking processes including Superannuation, Investments, Gearing, Retirement income, Tax minimization strategies and Personal & Key Man Insurance.
  • Proficiency in the Microsoft Office applications and if possible, a working knowledge of XPLAN

+61 2 8016 5500


Suite 69 Level 14, 88 Pitt
Street, Sydney NSW 2000

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