Advice Governance Senior Specialist
Core
Safeguarding the integrity and transparency of advice fee practices through governance frameworks, investigations, and due diligence to ensure fair, compliant deductions and protect member outcomes.
Role type
Senior compliance specialist (advice governance)
Builds
Robust governance frameworks for advice fee monitoring and supervision
Domain
Financial services / Superannuation / Regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Advice file review and investigation, Due diligence for onboarding, Regulatory expectations for advice fee oversight, Policy and procedure maintenance, Board paper and minute preparation, Record keeping and workflow management
Preferred skills
Knowledge of sole purpose test and service delivery requirements, Knowledge of Registered Superannuation Entities legislation, Financial Planning qualification
Technologies
None stated
Responsibilities
Lead ongoing investigations into advisers and licensees via advice file reviews, Support sampling activities including selection, file requests, follow-ups, conducting file reviews, issuing reports, and leading calibration and remediation processes, Lead due diligence activities for adviser and licensee onboarding, Manage workflows and record keeping for file requests, Support maintenance of policies and procedures documents, Manage the execution of Annual AFSL Attestation processes, Manage Advice Fee Exceptions Committee (AFEC), soft Fee cap and Licensee /Operations Forums, Support adhoc requests to ensure robust governance of advice fee deductions and adviser and licensee oversight, Support and provide input to management and Trustee reporting
Seniority
Senior, hands-on IC