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Professional Standards Officer

TAL - Brisbane City, QLD

Banking & Finance
Source: uWorkin

Source: uWorkin


Professional Standards Officer

  • Great opportunity to work in our Affinia dealer group

  • Coordinate the audit and review process

  • 2 x 6 month Fixed Term Contracts roles

Join us to support TAL's dealer group, Affinia. Reporting to the Professional Standards Manager, you’ll be responsible for coordinating and assisting in the implementation, development and monitoring of the advice and practices of Affinia’s representatives and Affinia’s compliance procedures / guidelines, to develop a robust compliance culture within the dealer group and adviser groups.

What will you be responsible for?

  • Ensuring that compliance and operational processes and procedures are in place that assist our dealer group Affinia in meeting its obligations under Corporations law, efficiently manage compliance incidents as they occur in accordance with the procedures established

  • Coordinating and managing the adviser audit and review process identifying training needs, areas of weakness and potential regulatory threats and providing and facilitating action plans as required.

  • Identifying opportunities to improve and streamline processes to enhance adviser and customer experiences

What are we looking for?

  • A thorough knowledge of all legislation and regulations (including the FASEA Code of Ethics Standard) applicable to the sale of life insurance and financial services products including Code of Practice and Financial Services Reform Act and Future of Financial Advice (FoFA) law with experience in a similar role

  • Financial services industry qualifications such as Diploma / Advanced Diploma of Financial Planning or will work to minimum FASEA requirements.

  • Experience with the Advice review process such as conducting and documenting the review, presenting the outcomes to the Advisers and following up successful completion of any action items is desirable

  • Typically 3 or more years of Financial Planning industry related experience

  • A working knowledge of Xplan or other Financial Planning software, Compliance Incident and Breach Investigations, reporting and resolution experience and Compliance Administration is desirable but not essential

  • Excellent communication skills and able to develop strong relationships with advisers and internal customers both face to face and over the phone and deliver quality service

  • Strong attention to detail and sound analytical, presentation and problem solving skills

  • Above all, your strong work ethic, professionalism, collaborative team approach and customer service ethos will set you apart from the rest

You’re always accountable for your actions. You never give up. You strive to find the best outcomes for customers and partners. And, you value work ing together to find the best solutions for problems.

Important to us

Every Australian life is different. And we know the value of having different people from all walks of life with varied points of view.

Work is a big part of life, and we work hard to make it one of the best parts. We offer a workplace that’s inclusive and flexible, supporting our people with options that let them make the most of their careers. We don’t just say it; we do it.

We want to grow with you. Achieve with you. And support you to do your best work. We’re always looking for people who want to go further with us.

Why not see where we can go together?

Doing the right thing

Everyone at TAL has a responsibility to do the right thing and is accountable for the way they conduct themselves. Our expectations are that you follow the principles set out in our Code of Conduct when you come to work every day. Risk management is everyone’s responsibility.