Advice Quality Manager

Full-Time - Sydney

Date posted
24 September 2020
Applications close
10 September 2020
  • Leading industry fund
  • Newly created role
  • Great opportunies for mentorship


Join our high performing advice team, fun & collaborative environment with lots of development opportunies and a great culture.


About Us

As one of Australia’s largest profit-to member superannuation funds, our mission is to help our members achieve their personal best retirement outcomes. Rest supports over 200,000 contributing employers, around 1.7 million members and has more than $54 billion of funds under management.

Culture

Our team at Rest enjoy a positive culture built around our core values “The Rest Effect”. We seek excellence in everything we do, are dynamic and innovative in the way we work, are always accountable, we are champions of our members and we succeed together.

About the Job 

We are looking to bring onboard an Advice Quality Manager to support the Rest Advice and Education team, ensuring the highest quality of advice is provided, that advice is always in members’ best interests and that Rest meets its legislative obligations and the expectations of regulators. 
 
Working as part of a high performing team, your role will be responsible for compliance of the whole advice continuum.


Key responsibilities include:

  • Maintain and monitor Rest’s Advice Compliance Framework
    • Review and update the Advice Compliance Framework and related documentation (advice policies, processes, templates and other related documentation)
    • Ensure a robust compliance process is embedded in the advice business
    • Ensure compliance related policies are appropriate and regularly reviewed
    • Monitor the activities of advisers to ensure proper discharge of AFSL responsibilities
       
  • Provide effective supervision and monitoring of adviser activity to ensure the:
    • Completeness and appropriateness of disclosures and documentation including advice document and associated file note reviews
    • Adequacy and effectiveness of controls
    • Prioritisation and management of action plans and training needs
       
  • Ensure Rest Advice complies with laws and regulations
    • Assist in the identification and management of new or changing compliance obligations for advice
    • Plan and lead compliance training within Advice and Education teams
       
  • Appropriate compliance reporting including
    • Ensuring issues are followed up and recorded in Rest’s Incidents/Breach register in a timely manner through proactively working with the Risk and Advice teams.


About You:

  • At least 4 years’ experience in risk management and compliance in the financial services industry
  • Demonstrated understanding of financial services regulations and legislation
  • Demonstrated understanding of risk frameworks in the financial services industry
  • Experience in developing programs to mitigate risks, including compliance risk
  • Experience in managing multiple projects, and prioritising competing deadlines
  • Tertiary qualifications in accounting, law, economics, business or equivalent
  • Membership of professional bodies such as ASFA and the Risk Management Institute of Australia (RMIA) or the Australian Compliance Institute.


At Rest we believe that everyone has the power to make a difference and we offer an inclusive and diverse environment that values the qualities and backgrounds that our people bring to the team. We encourage open and diverse thinking, collaboration, innovation and high performance.

Benefits

We value and support our team members by offering a great range of benefits, including but not limited to;

  • flexible work environment
  • an open plan and modern office
  • free fruit
  • health and wellbeing programs
  • tailored development plans to support you to achieve your personal best career outcome


If this sounds like you, apply now by submitting your resume and a covering letter summarising your experience and outlining why you are interested in the role.

Visit our website to learn more about your next opportunity at Rest to create happier tomorrows for our customers and in your own life at http://www.rest.com.au/about-rest/careers

Please note only people with the right to work permanently in Australia will be considered.

To apply, click on the “Apply Now” button, fill in the form, attach your CV and cover letter addressing the points above. We look forward to hearing from you.