Compliance

• Accurately enter client information into IRESS/XPlan and company templates.
• Complete financial modelling as directed using IRESS/XPlan.
• Prepare Statements of Advice (SOA), Records of Advice (ROA), and related documents following compliance guidelines.
• Review and check documentation for completeness, consistency, and adherence to compliance standards.
• Liaise with internal teams to clarify missing data or inconsistencies.
• Maintain confidentiality and integrity of all client records.
• Generate, name, and store digital files in accordance with company policy.
• Support reporting, audit preparation, and document organisation.

Paraplanning, Compliance Support Administrator

Contracts & Compliance Specialist

IT Compliance Analyst – Level II

Compliance Specialist