Brett Cox
Senior Case Assessor - Advice Remediation at Big 4 Consultancy Firm- Claim this Profile
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Bio
Credentials
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Certificate IV in Compliance and Risk
Governance, Risk, Compliance Institute
Experience
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Big 4 Consultancy Firm
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United Kingdom
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Information Services
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1 - 100 Employee
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Senior Case Assessor - Advice Remediation
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May 2022 - Present
• Involved in an Australian major insurance provider's remediation program in managing financial planning compliance. • Assessing, investigating, analysing, and validating past financial advice against legislative requirements and compliance standards. • Involved in an Australian major insurance provider's remediation program in managing financial planning compliance. • Assessing, investigating, analysing, and validating past financial advice against legislative requirements and compliance standards.
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BT
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Belgium
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Financial Services
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1 - 100 Employee
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Advice Remediation Case Manager
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Sep 2019 - Dec 2021
Deliver financial advice remediation assessments and associated remediation projects.Key responsibilities:• Assess financial advice with a focus on best interest duty and appropriateness of the advice, given the relevant circumstances of the client. • Document findings and outcomes, inclusive of remediation steps required.• Source documentation and undertake file assessments in response to ASIC notices.• Contribute to the team’s delivery of projects focussing on particular remediation concerns, including corporate actions and contribution fees. Show less
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Compliance Manager
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Oct 2017 - Sep 2019
Supervise, evaluate, and manage compliance risks for the various BT Financial Advice channels (salaried and self-employed advisers). Key responsibilities:• Conduct compliance audits across the BT Advice channels (face to face and remotely).• Document and provide constructive feedback to advisers regarding compliance audit outcomes, including best practice suggestions and remediation actions needed for issues identified.• Provide guidance and training to advisers and support staff regarding compliance issues.• Identification, appropriate reporting and escalation of systemic issues. • Continuous improvement of the compliance audit framework. Show less
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Partnership Paraplanning Coach
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Jun 2015 - Oct 2017
Provide guidance, coaching and support to paraplanners regarding advice and business policy requirements. Key responsibilities:• Pre-vet and review of complex advice documents and provide constructive feedback.• Design and provide training on relevant technical and business policy requirements.• Provide support and guidance regarding compliance, business policy and advice document generation issues.
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Senior and Executive Paraplanner
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Jul 2012 - Jun 2015
- Preparation of complex Statements of Advice.- Provide support for advisers regarding strategy development, compliance and business policies.- Vetting of plans for and coaching/mentoring junior paraplanners and new paraplanning staff.
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Senior Paraplanner
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May 2006 - Jul 2012
- Preparation of complex Statements of Advice. - Supervision and review of advice documents prepared by junior paraplanners. - Manage workflow process for paraplanning team - Administrative support regarding advice implementation, monitoring client portfolios and review. - Liaison with accountants with respect to documentation and compliance matters for SMSF clients. - Preparation of complex Statements of Advice. - Supervision and review of advice documents prepared by junior paraplanners. - Manage workflow process for paraplanning team - Administrative support regarding advice implementation, monitoring client portfolios and review. - Liaison with accountants with respect to documentation and compliance matters for SMSF clients.
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Education
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Kaplan Professional
Advanced Diploma - Financial Planning, Financial Planning -
Financial Planning Association
Certified Financial Planner, CFP Studies -
Deakin University
Bachelor of Business, Accounting
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