Compliance And Investments Administrator

Position Title: Compliance and Investments Administrator

Work Set Up: On-Site

Schedule: 7:00 AM - 4:00 PM PHT

Job Location: Clark Outsourcing - Building 35 Philexcel Business Park, Clark, Pampanga

Quick Rundown:

We are seeking a Financial Planning Support / Compliance professional to assist Australian Financial Advisors with the preparation and review of Statements of Advice (SoAs). The role involves managing client data, supporting annual reviews, performing compliance checks, and assisting with investment implementation using Xplan and CRM systems.

The ideal candidate has experience in Australian financial planning, strong attention to detail, and excellent communication skills, with the ability to work independently in a fast-paced environment

What Youll Do:

• Meet with and collaborate with Financial Advisors regarding their Statements of Advice (SoAs).
• Follow established company processes for preparing and managing advice documents and supporting materials.
• Prepare and review client information, ensuring accurate data collection and timely updates in the CRM.
• Prepare and manage renewal documents for annual review clients.
• Use Salesforce, Xplan, and other financial planning software as required.
• Perform compliance-related checks on advisors client files.
• Manage and schedule pre-advice and advice appointments for advisors.
• Conduct data collection from third-party superannuation providers through calls and email correspondence.
• Submit investment applications to a range of investment providers including Hub24, CFS Edge and AMP North.
• Monitor and manage implementation processes through collaboration with other departments and partner providers.
• Provide professional email correspondence to clients and internal departments, addressing queries and concerns related to advice.
• Provide reports to management as required.
  
  
  

• A graduate of any Financial/ Business related course
• Minimum 3 years experience in a financial planning compliance role
• Minimum 3 years experience using Xplan financial planning software
• Experience in providing retirement planning SOAs for Australian Financial Adviser
• Excellent written and verbal communication skills
• Strong independent research ability