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QWRK SERVICES

Compliance Officers

Confidence in advice starts with confidence
in compliance.

Compliance Officers

At Qwrk Outsourcing, compliance isn’t an afterthought — it’s the foundation of quality advice. Our specialist compliance team supports our internal Paraplanners and our practices to protect advice integrity, strengthen regulatory confidence, and ensure every client file stands up to scrutiny.

We deliver rigorous, practical compliance support aligned with the Corporations Act 2001 (Cth), including the Best Interest Duty and Safe Harbour obligations (ss961B–961G), ASIC Regulatory Guidance, and licensee specific requirements. The result is advice that is not only compliant, but clear, consistent, and client centered.

Trusted, Experienced, Proven

Proactive, organised, and client ready

With a combined experience of over 20 years, Qwrk Outsourcing’s compliance team is one of the most experienced outsourced compliance teams in the industry.

We support our internal paraplanning team and financial planning practices across Australia, providing commercially aware compliance solutions that reduce risk, enhance advice quality, and support sustainable practice growth.

Qwrk offers two types of Compliance support- one internally to support Qwrk Paraplanners and one dedicated to our practices.

Part-Time Practice Compliance Officers

Our Part Time Practice Compliance Officers provide hands-on, compliance support tailored to your advice model and licensee requirements.

  • Pre vetting of advice documentation
  • Conducting comprehensive end to end client file reviews, ensuring Best Interest Duty and Safe Harbour steps are clearly evidenced and each file independently tells a complete, defensible advice story.
  • Conducting an implementation check, ensuring that lodgments were made in accordance with recommendations- picking up any errors early for rectification.
  • Providing clear, practical remediation guidance, helping lift advice quality while maintaining momentum and efficiency.
  • Driving consistency and confidence, aligning advice output with licensee and practice standards and fostering a positive, supportive culture of compliance within the practice.

Internal Compliance Team

Qwrk Outsourcing’s internal compliance team works proactively to support our Paraplanning team:

  • Partnering closely with Paraplanners to ensure all SoA and RoA documents clearly demonstrate that advice is appropriate, compliant, and in the client’s best interests.
  • Embedding consistent quality standards, ensuring that regardless of the paraplanner that you are working with, quality is maintained
  • Provide guidance and training to our internal team, ensuring that Paraplanners are kept up to date with any legislative or best practice compliance changes.

Qwrk Outsourcing’s Internal Compliance Officers and Practice Compliance Officers provide the experience, structure, and support needed to ensure your advice meets Best Interest Duty obligations and stands up to regulatory scrutiny.

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QWRK SERVICES

Client Services Officers

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Paraplanners

Highly skilled paraplanners delivering advice documents efficiently

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Compliance Officers

Confidence in advice starts with confidence in compliance

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