Role Overview

The Implementation Officer is responsible for coordinating and managing the back-end implementation of financial advice, ensuring that client recommendations are actioned promptly and accurately. This includes liaising with financial institutions, preparing documentation, and maintaining compliance with industry regulations.

This role supports the Financial Advisers by taking ownership of the administrative and operational aspects of the implementation process, allowing advisers to focus on strategy and client engagement.

Key Responsibilities

1. Implementation of Financial Advice

Action and follow through on Statements of Advice (SOA) and Records of Advice (ROA) recommendations.

Liaise with clients, financial product providers (superannuation funds, investment platforms, insurance companies, etc.), and internal stakeholders to implement advice efficiently.

Submit new business applications, rollovers, investment instructions, and insurance applications.

Track and manage implementation tasks through to completion, keeping all parties informed throughout the process.

2. Client and Provider Liaison

Act as a primary point of contact for clients during the implementation phase.

Communicate effectively with product providers to obtain updates, resolve issues, and ensure tasks are completed to the client’s benefit.

Keep clients informed of progress and timelines with professionalism and clarity.

3. Documentation and Compliance

Prepare, review, and lodge paperwork required for the implementation of advice.

Ensure all documentation is accurate, complete, and compliant with regulatory requirements.

Maintain up-to-date client records in CRM systems (e.g., WorkSorted) and adhere to internal compliance policies.

Support in the preparation of audit materials and compliance reviews where needed.

4. Workflow Management and Reporting

Maintain accurate implementation checklists and workflow pipelines.

Provide regular updates to the advisory and client services teams.

Escalate delays, issues, or risks in a timely manner and provide solutions or alternatives where applicable.

5. Process Improvement

Contribute to the continuous improvement of internal systems and processes.

Identify opportunities to enhance client experience and internal efficiencies.

Participate in projects or initiatives to streamline implementation and service delivery.