Experienced in the US mortgage industry

Lessen supervision and admin work

Save up to 70% labor costs

Key focus areas:

Deliver consistent, timely, high-quality professional standards support to the Licensee and Authorised Representatives of Capstone Financial Planning (CFP)
Monitor compliance and risk management utilizing relevant technology and software provided by Capstone
Prepare and issue written reports and providing feedback to advisers as required
Manage an agreed remediation process
Annually review audit questions to ensure appropriateness and currency
Identify and escalate compliance breaches and ensuring implementation of remedies to prevent continual breaches
Ensure adherence to Capstone’s requirements in the conduct of business by all advisers
Provide advice regarding compliance queries from advisers and staff, in conjunction with other members of the Compliance team
Participate in Professional Standards Committee meetings as requested and following up on all action items allocated as a result
Assist with Induction programs for new authorised representatives
Pre-vet financial advice documentation for advisers as required
Maintain Compliance registers as required
Develop and maintain operational procedures/policies and tools to support the AFSL risk management framework
Facilitate or make presentations as required for Adviser Training days (i.e., PD Days)
Assist with compilation and preparation of adviser training materials/reports as required
Provide compliance coaching to Advisers as required
Participate in and contribute to the successful completion of relevant projects as required

Technical and soft skills:

Mortgage Regulations
Audit Procedures
Loan Analysis
Software Proficiency
Critical Thinking
Attention to Detail