Experience

Findex

• Australia
• Financial Services
• 700 & Above Employee

• Senior Monitoring and Supervision Officer

  • Sep 2019 - Present



Bank First

• Australia
• Financial Services
• 100 - 200 Employee

• Senior Compliance Officer - Financial Planning

  • Mar 2018 - Sep 2019

  ● Conducting ongoing review of the advice provided by Financial Advisers.● Ensure Financial Advisers satisfy all regulatory, legal and licensee requirements.● Thorough compliance audit check of Statement of Advice and random checks of Record of Advice.● Pre Vetting of advice and other documents prepared by new staff. ● Responsible for investigating compliance breaches, recording in the risk management system and providing feedback to staff. ● Conducting QA (Quality Assurance) when required to ensure prompt resolution and swift remediation is achieved.● Preparing monthly Financial Planning Compliance Audit report for the Head of Department. This includes reporting on compliance trends, gaps and solutions.● Assisting Head of department in the recruitment process of Senior Paraplanners and Paraplanners. This included shortlisting candidates, conducting interviews and reference checks.● Member of the Investment Committee and responsible for researching existing funds on the Approved Product List (APL) every quarter to ensure they meet investment criteria of the licensee. ● Provide coaching, technical assistance and advice to financial advisers, Paraplanners and other support staff to achieve high compliance standards.● Prepare induction and training plan for new staff including Financial Advisers.● Conducting ongoing training for staff around new processes, legislation changes and refreshers on existing policies and procedures.● Managing the training requirements for CPD hours. Monitoring CPD hours completed, maintain CPD register and ensuring Financial Advisers meet the new FASEA CPD requirements.● Working closely with Head of Financial Planning to ensure Licensee meets its legislative requirements.● Effectively liaise with internal and external auditors to ensure a successful licensee audit.

• Paraplanner

  • Mar 2017 - Feb 2018

  ● Preparing high quality compliant Statement of Advice including all application forms in a timely manner.● Producing ROA, Client review update form, FDS and Opt In documents on a monthly basis.● Analyse the strategy recommended by the Financial Adviser to ensure it is in best interest of the client. ● Conducting research to validate appropriateness of proposed solutions.● Expert level use of Coin software to offer technical advice and perform technical calculations to illustrate benefits of advice.● Liaise with clients, fund managers, underwriters to ensure new business is implemented in an efficient manner.● Provide phone support to financial planning clients, answering queries, booking appointment with advisers.● Prepare advice requests to help advisers with the work load. This included reviewing clients portfolio, risk profile and making necessary recommendations to ensure current strategy meets clients goals and objectives.● Completing file checks, SOA audit checks to assist the Senior Compliance Officer.● Updating of Statement of Advice templates and letter templates in COIN to better represent the changes in legislation and ensure they are compliant.

• Client Relationship Officer - Financial Planning

  • Jul 2015 - Mar 2017

  ● Being the first point of contact for financial planning clients I was responsible for answering phone calls, replying to emails, booking clients appointments with advisers.● Daily processing of incoming mail.● Responsible for implementation of advice. This included lodging applications with the fund managers, timely follow up and ensuring clients are kept informed throughout the process.● Monthly brokerage reconciliation.● Issuing bulk of client review update forms (reverse fact finds) every month.● Producing ROA, FDS and Opt In documents on a monthly basis.

• Credit Control Officer

  • Jul 2014 - Jul 2015

  ● Assisting customers facing financial hardship through analysing their financial situation with high attention to detail and finding a suitable solutions.● Analysing financial documents and making prompt decision in a fast paced environment.● Displaying empathy at all times whilst providing efficient and appropriate solutions to customers during financial hardship.● Handling delinquent accounts, explaining the account status, negotiating payments and offering tailored solutions to the customers. ● Was responsible for extracting team statistics from the data warehouse, analysing them, investigating any anomaly and presenting it to the team in weekly team huddles.



GE Capital

• United States
• Financial Services
• 700 & Above Employee

• Hardship officer

  • May 2013 - Jul 2014

  • Developed expertise in assisting customers facing financial hardship through analysing their financial situation with high attention to detail. • Gained experience in analysing financial documents and making prompt decision in a fast paced environment • Developed expertise in assisting customers facing financial hardship through analysing their financial situation with high attention to detail. • Gained experience in analysing financial documents and making prompt decision in a fast paced environment



GE Capital Finance

• Collections Officer

  • Mar 2011 - Apr 2013

  Working as a Front Line Associate in Credit Card Collections space. Specially dealing in High delinquency accounts with main aim of preventing charge offs. Working as a Front Line Associate in Credit Card Collections space. Specially dealing in High delinquency accounts with main aim of preventing charge offs.