Professional Standards Manager

Centrepoint Alliance is made up of a leading network of financial advisers. We help build future prosperity for hundreds of thousands of Australians.

Our purpose is developing and supporting financial advisers. We do this by providing world class technology, services, education, on the ground training, and integrated compliance monitoring to help our advisers build strong prosperous businesses focused on meeting clients' needs.

In doing this, we build a community of like-minded professionals who benefit not just from the services and resources we provide, but from each other and the network we create. Our four divisions: Licensee Solutions, Financial Advice, Lending Solutions and Investment Solutions are integrated. This enables us all to see beyond the reach of our individual businesses and practices to share skills and knowledge and take a wider view of a complex and ever-changing market.

The role’s core functions are to complete audits and compliance coaching to authorised representatives as part of the monitoring and supervision program, and provide consulting services around audits, pre-vets and other compliance support for AFS Licensee holders within our self-licenced adviser network.

The role is to promote the production of high-quality advice and compliance practices to ensure risks are controlled. The role requires ensuring financial advisers are adhering to legislative requirements and policy guidelines and identifying instances where requirements have not been adhered to.

Audits

• Perform audits and pre-vets of financial planning advice files for Licensed Authorised Representatives, and advisers of our AFSL Licensee clients.
• Provide coaching to advisers through feedback sessions following audits and pre-vets with the aim of improving the quality of the advice being provided and ensuring adherence to legislative and policy requirements.
• Determining and assigning audit remediation requirements and assisting authorised representatives with coaching on completion of action items.

Compliance Support Escalations

• Handle escalations from the Professional Standards Analyst (PSA) team on complex compliance queries, requests for approvals to provide advice outside Licensee guidelines, and disputes relating to pre-vet results.
• Interact with advisers in relation to audit remediation requirements escalated from the PSA team when necessary.
• Provide coaching and mentoring support to team members as required
• Complete peer reviews of team member pre-vets and audits as required.

Education & Training

• Provide onboarding compliance coaching to advisers joining our Licensees, to assist advisers in understanding our Licensee Standards and Policies, as well as templates and compliance expectations.
• Assist in meetings with advisers and AFSLs considering joining the Centrepoint Alliance networks, providing them with an understand of our compliance services, our approach to compliance and how we support their businesses.
• Provide constructive and effective feedback through ongoing coaching sessions on the quality of advice being provided. Coaching may be provided to individual advisers or their practice, groups of practices, and/or the broader network.
• Prepare material and present in webinars or other training days where necessary.
• Maintain a high level of industry awareness with regard to the regulators and the impact this has on our advisers and Centrepoint Alliance.

Relationships

• Support the Professional Standards Analyst team by help develop their skills and knowledge through coaching and assisting with escalations.
• Develop and maintain professional relationships with advisers and stakeholders.
• Develop professional standing as an expert/specialist in the field of Professional Standards and broader compliant business systems/processes.
• Attend meetings/workshops as required and provide input where necessary.
• Participate in the provision of value-added feedback/mentoring to other team members as required.
• Liaise and interact with other parts of the business.

Other Activities

• Maintenance of your own workflow, ensuring you meet service level expectations.
• Suggest and initiate process improvements.
• Must have the ability to undertake some travel when required (and a vehicle and driver’s licence), this may include the occasional overnight requirement. 
• Complete any other reasonable tasks or duties as required by the Manager.

• Diploma of Financial Services or RG146 qualifications
• Advanced Diploma of Financial Services or University Degree in a related discipline 
• Experience in a compliance role within an AFSL, preferrable providing audits to advisers (preferred).
• Experience as a financial planner/para-planner or within the regulatory field of the financial services industry (minimum).
• Good understanding of the advice process, and the construction of a Statement of Advice, including advice strategies.
• Highly effective communication skills, both written and verbal.
• Conflict management skills.
• Ability to identify problems and provide practical solutions.
• A strong attention to detail.
• Effective time management skills, and an ability to work to manage workflow.
• Ability to work autonomously and work as part of a highly paced team.
• Financial planning software experience, Xplan preferred.

• Excellent Employee Benefits Program
• A challenging and meaningful role with performance based incentives
• Supportive of flexible working arrangements
• An open, friendly and passionate environment putting our client at the centre of everything that we do
• Growth cycle of business - investing in technology, people and infrastructure
• Opportunity to join a well-known Australian ASX listed company

How to Apply?

Click on the APPLY button to submit your application or contact Linda Markwell, Head of Human Resources on 1300 557 598 for a confidential discussion. 

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* No recruitment agencies please.