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Assurance Advice Specialist

Australian Unity - Melbourne, VIC

Banking & Finance
Source: uWorkin


Full Job Description
Permanent opportunity within our Advice business, based in Melbourne
A critical role in the overall supervision and monitoring framework
We’re for real wellbeing

Join us and thrive

Established in 1840, we’re Australia’s first member-owned wellbeing company, delivering health, wealth and care services to more than 700,000 Australians. Today, while we’ve grown to a company of nearly 7000 employees, our focus remains the same as it was 180 years ago — to deliver Real Wellbeing for our customers, members and the community.

Your role

This opportunity is position within the Wealth & Capital Markets platform. The platform comprises the Advice, Investments, Life & Super, Property, and Trustees business units. The strategic purpose of the platform is to link the organisation’s valuable efforts in helping Australians secure their financial wellbeing with capital and social infrastructure needs of the communities.

The Advice business is focused on helping clients to improve their financial wellbeing and ultimately achieve their long-term lifestyle goals. The continued change in the regulatory regime for advice services, and resulting increased complexity, continues to reinforce the growing need in the community for valued providers of quality advice and services. The Advice business seeks growth in this context as a differentiated provider, within a mutual organisation that seeks to look after the real wellbeing of Australians.

Reporting to the Head of Advice Assurance, the Assurance Advice Specialist is a critical role in the overall supervision and monitoring framework. You will be responsible for the effective execution of file review/audit process for the delivery of financial advice.

In addition to undertaking compliance audit reviews of employed and self-employed authorised representatives, you’ll review and assess relevant materials for potential new advisers to be appointed as well as carrying out pre-vetting assessments of advice documentation and related materials produced by the authorised representatives.

About you

A sound understanding of financial advice requirements, the ability to interpret statutory and regulatory requirements and apply them, whilst balancing these against business requirements is essential. In addition to this we’re looking for individuals with the following:

Tertiary qualifications in a related discipline such as Business, Law or Finance or an Advanced Diploma in Financial Planning, CFP Qualified, affiliate or associate of a recognised industry body highly valued.
Demonstrable experience in the financial services industry - advice compliance or paraplanning is preferable.
A working knowledge of Xplan.
Experience in compliance Incident and Breach Investigations, reporting and resolution.
An understanding of financial planning practices and how they operate.
An understanding of various financial services product types and their application.

What makes us, us

There are four key attributes that set us apart:
Good people: We strive to set ourselves apart through the capability, warmth and expertise of our people.

Wellbeing experts: Our breadth of capability enables us to provide smart solutions and services across all domains of wellbeing.

Long-term commitment: As a member-owned company, we’ve been focusing on long-term outcomes and single-minded dedication to our members and customers since 1840.

Driving positive impact: Everything we do is focused on making a positive difference at a personal, community and societal level.

All these things are infused with our values of bold, warm and honest

Interested? For a discussion in confidence about this opportunity, please contact Cam Larkin, Talent Acquisition Lead, 03 8682 6138. www.australianunity.com.au/careers

Australian Unity is an Equal Opportunity employer and we encourage applications from all members of the community, including people of Aboriginal and Torres Strait Islander descent, culturally and linguistically diverse backgrounds and, mature aged people.

Should an applicant be the preferred candidate, background checks (including police checks, reference checks, ASIC banned and disqualified persons and bankruptcy checks) will be completed prior to the candidate's employment being confirmed. The outcomes of the background checks do not automatically bar candidates; however, will be assessed against the inherent requirements of the job.