Advice Assurance Manager

3 days ago

Auckland City, New Zealand Tyler Wren Full time

Great salary package + wfh days
- Supportive team and manager
- Well - established organisation

Tyler Wren is working with a Wealth Management organisation to assist with bringing in an Advice Assurance Manager to join their Private Wealth Management team. You will work closely with the Financial Advisers who provide advisory and discretionary services. This role reports to the Senior Compliance Manager and works closely with the wider Compliance team to uplift the Advice Process and related controls.

This is a new role that has been introduced to assist the company with executing growth effectively. As the Advice Assurance Manager, you will focus on improving and uplifting the framework in place which is used to guide the Financial Advisers. This role has governance aspects, as well as risk management and problem-solving.

**This role also includes but is not limited to**:

- Driving engagement on matters relating to suitable advice, including performing training on suitability aspects of the company's Financial Advice Framework.
- Support advisers and coach them and their support team on best practices for demonstrating the suitability of advice
- Contribute to the enhancement of the company’s advice process in close collaboration with Private Wealth Management and Compliance colleagues
- Identify innovative ways to improve suitability evidence and monitoring and ultimately client outcomes
- Assist in reviewing and monitoring advice-related policies, procedures, standards and tools in collaboration with Compliance
- Contribute to relevant reporting, including risk metrics to the Risk Management Forum

**About you**:

- 5+ years experience from roles delivering advice and risk assurance
- Ability to align control frameworks with day-to-day business activity
- Develop clear and effective controls
- Ability to influence stakeholders to operate within policies
- Clear and effective communication
- Ideally hold an NZ Certificate in Financial Services, level 5
- Or, an Authorised Financial Adviser

If you are looking for a new role and this sounds like it could be a great fit, please do
**‘Click Apply’** or, get in touch with

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