Position Description
Part A - Role Specification
Role Title:
Quality Advice Assurance Manager
Department:
Advice and Education
Position Statement (succinct statement of why the position exists)
Reporting to the Manager Technical Services, the Quality Advice Assurance Manager role works within the
Advice and Education and is responsible for assessing and monitoring the quality of advice being delivered to
members through Fund based online, phone and face to face channels and through our external accredited
adviser channel.
This requires a broad and detailed understanding of the environment and legislation in which advice is
delivered
Key Duties (what is done, how it is achieved and what the end result is)
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Manage first line of defence of provision of quality advice
Assess and evaluate our third party adviser compliance frameworks and practices against key legislative and
regulatory obligations, professional standards, business rules in order to assess the quality of advice being
delivered to the Funds members and identify gaps, issues and key emerging risks
Conduct adviser review activities such as file reviews, member interviews and observations using agreed
frameworks to ensure independent and consistent outcomes
Work with key stakeholders to recommend and establish remediation activities collaborating with Advisers,
National Manager Member Advice and third party providers
In conjunction with Team Leaders provide constructive feedback and coaching to Fund Based Advisers as
part of the support activated
Work with Financial Planning Team Leaders around adviser quality support activities
Assist Financial Planning Team Leaders in initial training and coaching advisers as part of their development
and delivery of quality advice
Produce and present written Advice Quality assessment reports for internal and 3 rd party providers
Validate and own instances raised by other areas of the Fund including member advice complaints
Assess new external adviser accreditation applications along with Business Development
Liase with internal risk and audit teams
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Quantitative Data (e.g. Number of Staff)
 Staff (direct reports):  Budget: $
Part B - Person Specification
Qualifications (indicate whether mandatory or desired)
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Relevant industry qualifications including Diploma of Financial Planning
Tertiary qualification in a business or related discipline desired
Desired Experience Profile:
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Previous experience in financial planning, compliance, legal, regulatory or auditing
An understanding of financial planning businesses, how they operate and he ability to apply best proactive
compliance principles
Excellent written and oral communication skills
Strong stakeholder engagement skills including excellent communication with the ability to build
relationships and provide feedback in a constructive manner
Ability to make clear decisions which may involve difficult choices or considered risks
Previous training/mentoring experience
Attention to detail
Work with tight dead lines
Part C – Required Competencies
Competencies Profile
(See Competency Dictionary for details)
Competency
Required Level (Developing/Effective/Strength)
Shapes member experience
Technical competence
Business and industry awareness
Relationship–building and partnering
Embracing challenge
Informed and decisive judgement
Results delivery
Clarifying direction
Part D – Additional Information
Additional Information
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This position description is indicative of the range of job requirements and accurately reflects the
requirements of the role at the time of writing. Due to the nature of the work environment changes may
occur to this role over time. The job comprises other duties as required.
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