Senior Risk & Compliance Officer

• Jul 2023 - Present

As Senior Risk & Compliance Officer I play a key role in developing managing and enhancing Capstone's Risk and Compliance framework and practices.

Professional Standards @ Capstone

• Apr 2022 - Jul 2023

Analyst

• Mar 2022 - Apr 2022

Manager - Advice Quality

• Nov 2014 - Dec 2021

UniSuper began with a compelling idea: to deliver better value. It is now one of Australia’s largest super funds, with more than 450,000 members and over $100 billion in funds under management. At UniSuper we’re passionate about securing the future of our members. Members are empowered to be confident about their future and make better financial decisions. What I do is support that vision by fostering good governance through open communication, and applying a collaborative and accountable approach with our key stakeholders. I support, guide and coach advisers & consultants to provide general advice & personal advice. I manage the super consultants (12 across Victoria & Tasmania) to assist with the delivery of high-quality compliant general advice leading to positive outcomes for our members. Show less

Senior Compliance Development Manager (Southern Region)

• Mar 2012 - Oct 2014

At BT, we placed our customers at the centre of everything we did, committed to constantly seeking ways to help customers prepare for their best financial future. The role I played in that was to support & encourage the activities of a team of compliance field operatives (7) across a number of Advice distribution channels within the BT Financial Group - Securitor, BT Select, Licensee Select, Westpac Financial Planning, St George Financial Planning - across the Southern States (Vic, Tas, SA & WA), and the relationship management of key internal & external stakeholders. • Providing guidance, training and leadership to advisers and staff supporting them, to drive a ‘risk aware’ culture consistent with business objectives • Assisting in the development and maintenance of support tools, systems, policies and guidelines and providing guidance, training and leadership to both the advisers and the compliance services team. • Providing advice and guidance and reporting on risk and compliance issues to forums, committees and the wider business • Facilitation of risk related workshops to assist in identification and mitigation strategies for the stakeholders • Manage budget and expenses of Compliance program in line with business policy . Show less

State Manager Victoria - Advice

• Jan 2010 - Dec 2011

* Oversee and manage the day-to-day operations of the Victorian State Office. * Monitor financial and state activity targets and motivate the team to achieve this. * Develop internal relationships and leverage cross-business unit successes for the attainment of Group objectives. * Lead and coach a team of Practice Development Managers and Practice Support Officers and promote a positive team environment. * Engage and assist our clients ( of in excess of 180 financial advisers & accountants and their referral partners & centres of influence ) to grow and improve their businesses. * Deliver the full PIS business development, practice development & compliance framework to the network. * Keep abreast of all industry commentary, products and changes Show less

Senior Business Development Manager Vic-Tas

• May 2006 - Dec 2009

* To develop business relationships with advisers/dealer groups & increase market exposure & total loan book for margin lending & other investment lending products. * Conduct seminars & presentations to advisers & their clients. * Presentation at Dealer Group PD days, Conferences & Technical Workshops * Contribute to the development & implementation of marketing strategy & product enhancement. * To influence & liaise with senior executives (internal & external) that impact on the operation of margin lending & other investment lending products. * Training, coaching & mentoring of junior business development staff (5). Show less

Manager, Financial Planning

• Sep 2005 - Apr 2006

* To develop & maintain a profitable Financial Planning business in accordance with the firm's & the Group's strategies & policies. * Client management, management of the financial planning team, recognising & managing relationships with the accountants in the firm. * Identifying & pursuing external business development opportunities. * To develop & maintain a profitable Financial Planning business in accordance with the firm's & the Group's strategies & policies. * Client management, management of the financial planning team, recognising & managing relationships with the accountants in the firm. * Identifying & pursuing external business development opportunities.

Financial Planner

• Jul 1995 - Sep 2005