Licensee Operations
vor 4 Wochen
This role is responsible for the delivery of Licensee Operations. This is a broad role which captures the administration and record keeping for various regulatory obligations undertaken by the licensee. Regulators and external parties include ASIC, PI Insurer, Kaplan, etc. Internal stakeholders include the Practice Partnership team, Professional Standards team, and various internal committees and related reporting requirements such as the Risk and
Compliance Committee.
A key responsibility is the onboarding and offboarding of new advisers (ARs) and businesses (CARs). This involves following policy, processes, checklists and ensuring relevant documentation and various regulatory registers are
updated. The role has responsibility for all aspects of the onboarding and offboarding, including updating systems, policy and process to ensure the objectives of risk management, business efficiency and client service are met.
The role involves responsibility for the maintenance of the adviser training policy and ongoing CPD / training records (including Professional Year), ensuring AFSL’s ability to demonstrate competency and compliance with Professional Standards education requirements, liaison with suppliers e.g. Kaplan, and running the professional series webinar
programme.In addition, this role has a responsibility for operational aspects of the Brisbane office.
Duties
- Adviser Onboarding and Off Boarding, including related transition support. This includes the processing of AR applications in accordance with process and policies and coordinating with other departments with key action
items on the process.
• AFSL and License Maintenance – Manage the AR Training Plans, process termination and transition of departing
adviser firms, client communications re transition, maintain ASIC Register and notify various parties . Assist Head of Professional Standards & Support to ensure AFSL is able to meet
competency requirements for Responsible Managers.
• Training Support – maintain CPD records, co-ordinate updating and approval of education policies, including
communications to advisers of education, Professional Standards requirements and co-ordinate CPD
accreditation for internal licensee training sessions.
• Assisting with the Risk and Compliance Committee, and other reporting as required
• Maintaining CRM and Licensee records
• To oversee the day to day running of Brisbane Office including:
• Assist with Projects as required. This may include Co-ordination of Professional Indemnity Insurance renewals.
• Other duties as requested.
You
- Formal qualifications and experience required to competently perform the responsibilities of this job (including relevant accreditation and licensing):
- Understanding of Financial Advice
Process - Xplan Software, including CommPay
- Knowledge of policy / procedures
- Knowledge of CPD Processes and Training Requirements for Adviser
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