DOVER FINANCIAL ADVISERS PTY LTD
Dover Financial Advisers is a privately owned Australian Financial Services Licensee (AFSL). Dover manages the licensing and compliance requirements of its numerous authorised representatives who provide financial advice across Australia.
Dover is one of the largest AFSLs in Australia and is connected to McMasters’ Accountants, Financial Planners and Solicitors, Australia’s largest firm of doctor specialised accountants.
Dover Graduate Program – Full Time
Our Graduate Program offers an amazing start to your career in the legal and financial services industry. The graduate will be involved in a rotation between the compliance and adviser relations department. The graduate will also have the opportunity to work with accountants or solicitors from McMasters and MLA Lawyers on client matters, and over time, may progress to a client orientated role dealing directly with doctors and financial planners.
Within the compliance department, the graduate will ensure client advice is provided appropriately and meets Dover standards. The graduate will work actively with the Compliance Manager to assist with all compliance related work.
Within the adviser relations department, the graduate will work closely with the Adviser Relations Manager to assist aspirant advisers through the process in deciding upon a suitable dealer group and to assist them in transitioning to Dover’s high compliance model smoothly.
Subject to the direction from the Manager, the graduate is mainly responsible for the following:
- Review statements of advice sent in to Dover
- Provide assistance and technical support to Dover advisers
- Ensure the system is efficient and reviews are timely
- Work with the Dover SOA review team to ensure efficient delivery of service
- Maintain accurate records and documentation regarding SOAs
- Report findings and issue recommendations for corrective action
- Prepare periodic compliance reports for submission to regulators such as ASIC
- Handling client complaints and liaising with the Credit and Investments Ombudsman
- Comply with the organisations compliance expectations
- Maintain documentation of compliance activities, such as complaints and breaches
- Attend team and departmental meetings and training sessions
- Provide assistance with compliance projects
- Attend employee training on compliance and related topics
- Monitor the review process to ensure their effectiveness
- Provide assistance to the Compliance Manager and Adviser Relations Manager in performing day to day responsibilities
- Minimum degree level in Law – major in financial services law preferred
- Ability to grasp new concepts and apply
- Ability to work without supervision as well as working in a team
- Strong attention to detail
- Excellent verbal and written communication skills
- Efficient administration and organisational skills
- Ability to multi-task and work to demanding deadlines
- Good presentation skills
- Analytical, logical and methodical
- Good people skills – ability to work effectively with a wide range of people and deal with any issues in a positive and non-confrontational manner
- Familiar with Word and Excel
- Keen interest in legal affairs, current affairs and compliance.
The successful applicant will be encouraged to complete College of Law studies or Leo Cussen studies and must have the ability and capability to progress to a solicitor with MLA Lawyers.
To express your interest in this opportunity, please forward your CV to Yin Low at email@example.com.