Experience

Salt Financial Group Pty Ltd

• Australia
• Financial Services
• 1 - 100 Employee

• Senior Paraplanner

  • Feb 2022 - Present

  Strategy formulation, financial projections Advice document review Compliance management Lead the paraplanning team Workflow management Strategy formulation, financial projections Advice document review Compliance management Lead the paraplanning team Workflow management



Banks Group

• United Kingdom
• Wind Electric Power Generation
• 100 - 200 Employee

• Senior Paraplanner

  • Sep 2020 - Feb 2022

  Performing a hybrid role encompassing advice preparation, compliance monitoring and workflow management Advice preparation • Prepare holistic and compliant advice documents (Superannuation, retirement planning, investment, risk, SMSF & Trust, tax planning, cashflow, margin lending, derivatives) • Create complex financial modelling for advice documents and new client presentations • Research strategies and products to ensure compliance with best interest duty • Review SOAs completed by junior and outsourced paraplanners for compliance • Mentor junior staff on advice preparation, administration and regulatory requirements Compliance (member of the Compliance Committee) • Conduct pre advice compliance checks on strategy, Best Interest Duty, and documentation and alert advisers to any gaps or inconsistencies with the Code of Ethics • Maintain AFSL registers (breach reporting, risk etc) • Continuous review of the Compliance Manual to align with regulatory changes and recommend changes to processes • Monitor advice implementation • Conduct Post Implementation Compliance Checks on advice files • Review and update advice document templates and working paper documents to align with compliance standards • Monitor the monthly client review process to ensure compliance to the Enhanced FDS process Workflow management • Manage the daily Work in Progress (WIP) schedule to efficiently allocate resources • Liaise with external provider to manage the XPlan client database including troubleshooting • Provide training to junior staff on XPlan functionalities • Set up workflow processes, create process manuals and monitor adherence • Generate management and other reports on Xplan • I was also the project lead in migrating the XPlan database between providers in April 2021. Show less



Asparq

• Canada
• Construction

• Paraplanner

  • Jun 2019 - Aug 2020

• Client Service Administrator

  • Sep 2018 - May 2019

  Providing direct admin support to 3 Financial Advisers and indirect support to 4 Authorised Representatives through report generation, diary management and document preparation whilst maintaining highest level of accuracy and meeting deadlines.• End to end management of Advice Document Preparation & Implementation Process• Accurate and timely preparation of monthly Client Investment Review and Portfolio Monitoring Reports• Perform Post Implementation Compliance Checks on Advice files• Generating management reports for the Planner Leader and the planners through XPlan• Accurate maintenance of the CRM and client details and records in XPlan• Manage the Ongoing Service Program ensuring timely issuance of Opt In & FDS documents• Effective Diary Management to optimise Adviser efficiency• Identify efficiency gaps and introduce process improvements• Issuance and management of Fee for Advice invoicingCurrently performing data cleansing projects on XPlan to optimise the utilisation of reporting functions and ensuring compliance. Show less



Sherpa Financial Group

• United States
• Financial Services
• 1 - 100 Employee

• Senior Client Services Officer

  • Mar 2018 - Aug 2018

  Manage the Client Service Operations to support the business so that staff are organised, informed, prepared and free to perform their duties effectively and efficiently and ensure all clients matters are handled within the SLAs. • Allocation of work on a daily basis to the Administrative Associates and monitor the work load • Ensure the accurate and timely preparation of all Client Investment Review and Portfolio Monitoring Reports • Monitor common email inboxes and respond to queries from clients and product providers relating to non-advice issues and implementation progress • Set and monitor the adherence to customer service standards to maximise relationships with new and existing customers • Manage Advise Document Preparation & Advice Implementation • Perform Post Implementation Compliance Checks on Advice files • Oversee client insurance claims and directly support clients through the process • Accurate maintenance of the CRM and client details and records in XPlan • Manage the Ongoing Service Program ensuring timely issuance of Opt In & FDS documents • Effective Diary Management to optimise Adviser efficiency • Identify efficiency gaps and introduce process improvements Show less



Bendigo Bank

• Australia
• Banking
• 500 - 600 Employee

• Financial Planning Assistant

  • Jul 2017 - Mar 2018

  Providing daily admin support to some of the busiest financial planners in the Vic Metro region through report generation, diary management and document preparation whilst maintaining highest level of accuracy and meeting deadlines. • Supporting Financial Planners in document preparation and distribution • Entering Client Financial Needs Analysis into XPLAN • Preparation of product applications & supporting documents for Statement of Advice presentations • Collating information and producing files for client reviews • Generating management reports for the Planner Leader and the planners through XPlan • Diary management for financial planners • Handling client queries and attending to all ad hoc tasks Achievements • Was a key team member in the pilot project to deliver Statement of Advice (SOA) and PDS documents through USB • Was involved in establishing SLAs for task delivery in the FPA team Show less



Essential Financial Planning

• Australia
• Financial Services
• 1 - 100 Employee

• Client Services Officer

  • Aug 2016 - Jun 2017

  Delivered admin assistance in financial planning and mortgage broking to two Financial Planners/Mortgage Brokers through product research, document preparation and liaising with product providers. Financial Planning • Preparation of application forms for investment accounts, superannuation accounts, rollover forms and insurance applications • Complete Monthly client reviews pre-work - Run reports on Xplan for clients due for review, create spreadsheets on Google Docs, complete research for each review client and create review checklists • Monthly commission reconciliation on EasyDealer • Create and balance quarterly invoices • Generate letters on XPlan to clients as necessary • Provide administrative support to the planners • Creating new clients, actioning general client requests and adhoc tasks • Compiling current investment research papers and market commentary to be used in monthly reviews • Liaising with different product providers on client requests and new product implementations Mortgage Broking • Create new clients on XPlan and LoanKit • Conducting product research for clients • Creating applications and compliance documents for loans and compiling supporting documents • Compiling credit proposals for loan applications – Owner Occupied, Investment, SMSF, Commercial • Application lodgement on NextGen • Liaising with lenders in managing the application process • Ordering valuations on security properties • Liaise with solicitors and lenders in completing settlements • Provide administrative support to brokers • Act as the first point of contact for clients, lenders and solicitors Achievements • Was instrumental in expanding the mortgage provider base and successfully handled complex commercial mortgage applications without supervision. • Created structural enhancements to the documents used for admin process Show less



Westpac

• Australia
• Banking
• 700 & Above Employee

• Settlement Officer

  • Nov 2015 - Aug 2016

  Finalized approximately 17 Settlement files a day which resulted in maintaining around 30 customer accounts with zero errors and within the allocated time. Completed approximately 70 phone calls per day when allocated to the Settlements booking line. Settlements: • Completing Purchase, Refinance and Releases settlements for all states • Calculating and finalising final payouts for business loans, Commercial Bills, overdrafts, home loans and FX contracts • Preparation of sales faxes, emails and Transaction Authorities on the day of settlements • Closing of accounts, charging fees, deleting overdrafts, cancellation of repayments • Limit reductions, new limit establishments, set up repayments. • Liaising with other business units in obtaining breaking costs for fixed rate facilities • Liaising with different branches in organising cheques for purchase and refinance settlements • Processing entries for stamp duty, registration, guarantee fee and establishment fee on purchases and refinances • Liaising with relationship managers, customer managers and credit in resolving issues affecting settlements • Updating CRM database with completed settlements • Liaising with the settlements agent, their solicitors and customer’s solicitors in resolving issues at settlement • Liaising with other business units in setting up new security and release of existing security • Conducting title searches on properties for all states • Deregistering charges on the Personal Properties Securities Register • Daily balancing of the suspense account Settlement booking • Booking sales, refinance and purchase settlements for all states • Verifying security documentation prior to booking settlements • Providing information on settlements and bookings to Business Bankers, Solicitors and settlement agent • Uploading booked settlements to the agent’s website • Dispatching of documents for settlements • Liaising with solicitors, agents and brokers on settlement completion Show less



Suncorp Group

• Australia
• Financial Services
• 700 & Above Employee

• Banking Consultant

  • May 2013 - Sep 2015

  • Providing advice to clients on investment and banking products. • Generating monthly compliance reports from various systems. • Checking the reports to ensure adherence to the Compliance Procedures. • Liaising with the Legal department in setting up of Deceased Estates. • Monthly checking of relevant registers to ensure adherence to banking procedures. • Ordering and maintaining levels of supplies, brochures, product information documents. • Creating deposit facilities (term deposits, personal & business transaction accounts, personal & business savings accounts). • Arranging of personal lending facilities such as Personal Loans, Credit Cards. • Creating and accessing customer records on CRM for daily functions. • Generating referrals for home lending, insurance products and other banking services. • Generating daily reports on new account openings and ensuring accuracy of data of new accounts opened. • Liaising with internal business units in resolving issues relating to customer service Show less



Commercial Bank of Ceylon Ltd

• Sri Lanka
• Banking
• 500 - 600 Employee

• Branch Assistant Manager

  • Jan 2012 - Dec 2012

  Was responsible for the smooth operation of the branch which included but not limited to:• Efficient allocation of resources to ensure highest levels of customer service are maintained • Ensuring Adherence to regulatory compliance guidelines • Training and motivating the team to achieve continuous operation excellence• Setting KPIs for the team, monitoring performance, identifying needs and designing training programs to empower the team members to achieve their potentialAchievements• Successfully led a team of 23 to achieve zero customer complaints in an environment which averaged a foot traffic of approximately 2000 customers within a window of 6 hours per day. • Identified and implemented opportunities for improved efficiency in processes. Show less

• Team Leader - Debt Recovery

  • Oct 2007 - Dec 2011

  Managed a portfolio of credit card debt which was 180 days or more overdue, by contracting 3 debt recovery agencies and a legal firm. • Negotiating repayment options and recovery time frames• Supervision of document preparation for litigation• Management of monthly credit reporting• Organised and conducted training for the debt collection agencies on regulatory changes• setting recovery targets and monitoring performance • Conduct annual auditing of the agencies and advice on process improvements to achieve regulatory complianceAchievements• Was a key member of the project team formed to acquire and retain ISO 27001 Certification to Credit Card Operations Team.• Was extremely effective in recovering longstanding debt approximately over 50% Show less