Advice Quality Assurance Manager
- Manage quality assurance and compliance for financial advice documentation.
- Review and assess advice files to ensure compliance with standards.
- Provide feedback and support to advisers and paraplanners.
Our client is a highly regarded and rapidly growing financial advice firm with a strong reputation for delivering holistic, fee-for-service financial advice to a diverse client base. With more than 100 employees and 30 advisers, they are seeking an Advice Quality Assurance Manager to join their team and play a critical role in maintaining advice quality and regulatory compliance.
This is an outstanding opportunity for someone who enjoys the technical side of financial planning and wants to take the step into a more compliance focussed position.
The Opportunity
Reporting to the leadership team, you'll act as a key quality assurance and compliance resource across a team of approximately 30 advisers.
Your primary focus will be reviewing and assessing advice documentation before it reaches clients, ensuring all files meet legislative, licensee and internal standards.
You'll work closely with advisers, paraplanners and compliance leadership to identify risks, provide technical feedback, and help drive continual improvement across the advice process.
- Conduct pre-delivery quality assurance reviews of advice documents and client files
- Identify compliance risks, technical issues and opportunities for improvement
- Provide feedback to advisers and paraplanners to ensure required amendments are made
- Support the management of compliance obligations, risk frameworks and advice supervision processes
About You
I am keen to speak with professionals with a strong technical understanding of financial planning and are looking to take the step up into compliance.
To be successful, you'll bring:
- Strong technical knowledge of financial planning strategies and advice documentation
- Understanding of financial advice compliance requirements
- Exceptional attention to detail
- Ability to identify risks and inconsistencies within advice documents
- Confidence providing written and verbal feedback to advisers and support teams
What's on Offer?
- Opportunity to step into a compliance focused career path
- Structured training and professional development
- Genuine long-term career progression opportunities
- Flexible start and finish times
- KPI-based discretionary bonus structure
- Collaborative and supportive team environment
- Strong focus on employee wellbeing, recognition and culture
- Growing business with significant expansion plans across Australia
About the Business
Our client is an established financial planning practice with a strong growth trajectory and a vision to become a leading national advice business. The firm provides holistic, fee-for-service financial advice to a broad client base ranging from accumulators and families through to business owners and complex high-net-worth clients.
The culture is a genuine standout. The business invests heavily in its people, provides clear development pathways and rewards performance, making it an attractive environment for advisers looking to grow both professionally and personally.
How to apply
Click APPLY or contact Scott Munro on 0468 496 046 for a confidential discussion. You can also email your resume to scott@bentleyrecruitment.com.au
Please note only shortlisted candidates will be contacted.
We vet all employer accounts and do our best to keep job ads safe, but scams can still occur. Be cautious when sharing personal information — never provide financial details or make payments during the application process. For extra security, use the Apply button on our site when proceeding.
Skills
0 of 10 matchedBentley Recruitment Pty Ltd