Senior Investment Analyst

• Jan 2023 - Present

Advice Remediation

• Mar 2020 - Jan 2023

• Performed quality assessment of historical financial advice provided to clients, including retirement planning, personal insurance, margin lending, SMSF and direct equity • Effectively performed quantitative and qualitative analysis in advice review process, including document investigation, financial product research, data validation and investment strategy analysis • Prepared and delivered client remediation solution reports to internal and external stakeholders • Completed high complexity reviews under pressing deadline to meet ASIC reporting requirements

Senior Analyst

• Jan 2019 - Feb 2020

• Managed two teams consisting of over 40 assessors on daily basis for a large-scale remediation project.• Established team wide quality review procedure, provided technical support and quality assurance reviews for individual team members.• Set clear objectives and monitored the progress of work to achieve the target and held team members accountable for the delivery of their work.• Collaborated with assessment team with aspiration of showing commitment to delivering high quality outputs within the set timetable.• Documented internal policies and procedures to standardise the internal operating processes.• Assisted with the development and implementation of the workflow management initiatives.• Designed and created multiple calculating and analysing tools which have effectively improved the efficiency of assessment procedure and the quality of assessment outputs.• Presented key principles of the calculating tool design to client and assisted with the program wide implementation.• Actively engaged with client’s technical experts for methodology understanding and closed the interpretation gaps between client and internal delivery team.• Automated target tracking process and assisted management team with performance analysis and reporting.

Analyst

• Nov 2017 - Jan 2019

• Reviewed and assessed the appropriateness of financial advice provided to retail customers against legislative requirements and compliance standards on behalf of an Australian Big 4 bank.• Delivered over 100 highly complex cases (including investment, retirement planning, personal insurance, margin lending, Defined Benefit, SMSF and direct equity) with superior quality, outperformed productivity and strong adaptability.• Performed quantitative and qualitative analysis, including data validation, document investigation, financial product research, investment strategy analysis and report generating.• Selected by senior management to undertake a 3-month project on client’s internal audit review of financial advice.• Participated in methodology workshops with client’s Special Matter Experts to ensure that the prescribed assessment criteria has been properly communicated and implemented.• Conducted retail customer communications to improve the accuracy of advice review and ensured the review outcomes were understood and properly delivered.

Tax Accountant

• Nov 2016 - Feb 2017

• Lodging tax returns for individuals and companies • Business Activity Statements and GST annual returns • Assisting with the preparation of BAS report using Xero and MYOB • Engaging with ASIC/ATO for tax issues • Adhoc jobs helped to develop strong and solid research skills & creative mind • Lodging tax returns for individuals and companies • Business Activity Statements and GST annual returns • Assisting with the preparation of BAS report using Xero and MYOB • Engaging with ASIC/ATO for tax issues • Adhoc jobs helped to develop strong and solid research skills & creative mind