Description

About the roleMaddern Financial Advisers P/L is seeking a Paraplanning/Compliance Manager to join our dynamic financial planning team. This is a full-time position based in Malvern, VIC. As Paraplanning/Compliance Manager, you will play a pivotal role in ensuring the seamless delivery of high-quality financial planning services while maintaining the highest standards of compliance and regulatory adherence. Your expertise in X-Plan will be essential, as this system is critical to our operational excellence and client service delivery. This role sits at the intersection of operational efficiency and regulatory compliance, making it integral to our firm's success and growth.Key responsibilitiesManage and oversee paraplanning operations, ensuring all documents and financial plans meet firm standards and regulatory requirementsDemonstrate exceptional proficiency in X-Plan, utilising the platform to produce financial plans and supporting documentation with precision and efficiencyDevelop and maintain compliance procedures, policies and processes to ensure adherence to Financial Conduct Authority regulations and industry best practice standardsReview and quality assure financial advice documents, fact-find forms and planning recommendations for accuracy and completenessCollaborate with financial advisers to refine planning recommendations and ensure optimal outcomes for clientsMonitor regulatory changes and updates, implementing necessary adjustments to firm procedures and staff trainingManage compliance documentation, record-keeping and file management systems to ensure all documentation is current and accessibleConduct regular compliance audits and risk assessments across the paraplanning functionTrain and support paraplanning staff on X-Plan functionality, compliance requirements and quality standardsLiaise with external compliance and audit functions as requiredWhat we're looking forAdvanced proficiency in X-Plan, with demonstrated experience using the platform in a professional financial planning environmentSubstantial experience in paraplanning or compliance within financial services, ideally with exposure to financial planning operationsStrong knowledge of financial planning regulations, compliance requirements and regulatory standards applicable in AustraliaExcellent attention to detail with the ability to identify discrepancies and inconsistencies in complex financial documentationExceptional organisational skills with the ability to manage multiple priorities and deadlines effectivelyDemonstrated ability to work independently and as part of a collaborative teamStrong written and verbal communication skills, with the ability to explain compliance requirements clearly to diverse audiencesExperience in process improvement and the ability to streamline paraplanning workflowsKnowledge of relevant legislation including the Corporations Act 2001 (Cth) and Australian Securities and Investments Commission requirementsA commitment to maintaining the highest ethical and professional standardsIdeally, formal qualifications in financial planning, compliance or a related field would be advantageousWhat we offerAt Maddern Financial Advisers P/L, we value our team members and are committed to creating a supportive and professional working environment.We offer a brilliant salary to attract our preferred candidate aligned with your experience and qualifications.You will have the opportunity to work alongside experienced financial professionals in a collaborative culture that prioritises continuous learning and professional development.We support career progression and provide access to ongoing training and development opportunities within the financial services sector. Our team enjoys a balanced approach to work, with flexibility where possible to support your wellbeing.We foster an inclusive workplace where your contributions are recognised and valued, and where you can build a rewarding career in financial services.About usMaddern Financial Advisers P/L is a respected financial planning firm committed to delivering comprehensive and personalised financial advice to our clients.With a focus on excellence, integrity and client-centric service delivery, we have built a reputation as a trusted adviser within the financial services industry.Our team is dedicated to helping clients achieve their financial goals through sound planning and professional guidance.We pride ourselves on our compliance standards, operational efficiency and the quality of our advice. We believe in fostering a workplace culture that encourages professional excellence, continuous improvement and meaningful client relationships.Apply nowIf you meet the above requirements and are interested in joining our team, we encourage you to submit your application including your resume and a cover letter outlining your relevant experience and why you believe you are an excellent fit for this role. Please ensure you highlight your X-Plan expertise and compliance experience in your application.