Head of Compliance Program and Representatives

• Aug 2023 - Present

Compliance Manager

• Apr 2023 - Present

Senior Professional Standards Consultant

• Nov 2012 - Apr 2023

- Monitoring the compliance audit program to ensure targets are met, high risk advisers and triggers are identified and ensuring relevant and appropriate training and remediation is put in place and adhered to; - Training new Professional Standards Consultants (PSC), including conducting peer reviews for quality assurance; - Running monthly team meetings with the PSC team; - Presenting Compliance and professional standards updates and training material at Professional Development Days for the adviser network; - Provide training forums for advisers and staff, including AML requirements in line with the business’s AML Licensee Standard; - Prepare and present training and induction material for adviser training workshops. This includes all relevant aspects during the financial planning process, including AML requirements, when to lodge SMR’s, etc; - Preparing monthly reports for the Compliance Committee and Board reporting - Conducting compliance audits for licensed and self-licensed advisers. Providing in depth training, remediation and potential consequence management post all audits; - Conducting ongoing advice audits to ensure legislative requirements are being met, inclusive of AML, FDS and Opt-in obligations; - Conducting risk assessments on financial advisers based on high risk indicators to then determine next steps e.g. in depth audit, compliance improvement program or further escalation; - Assisting with projects resulting from ASIC notices; - Assisting with developing and updating Professional Standards policies, including the AML Licensee Standard and AML Risk assessment form. Show less

Professional Standards Manager

• 2011 - 2012

- Preparing monthly reports for the Compliance Committee and Board reporting - Conducting compliance audits for advisers. Providing in depth training, remediation and potential consequence management post all audits - Responsible for identifying and assessing compliance breaches - Signing off on marketing material to ensure it is in line with Professional Standards requirements - Pre-vetting advisers SoA's - Handling the complaints process from start to finish, liaising with FOS and engaging with Legal for complaints which progress to the EDR stage - Working directly with the Responsible Manager and every high Risk adviser to ensure there is sufficient training plans in place to monitor and remediate the quality of advice - Assisting with developing and updating Professional Standards policies Show less

Compliance Manager

• 2010 - 2011

- Conducting compliance field audits with financial advisers within both Dealer Group and Salary Channel - Manage compliance incidents with Compliance Action Plans and remedial Action Plans - Engaging with Investigations & Complaints team to assist with internal audits - Conducting Compliance workshops, Compliance Inductions for new financial advisers and responding to ad hoc queries from financial advisers across both Dealer Group and Salary channel - Being the first point of call for advisers when dealing with potential complaints - Complete End Of Month reporting to analyse compliance audits to determine areas where financial advisers require further training - Efficiently manage time to ensure SLA is met with compliance reviews and completed compliance reports. Show less

Compliance Team Leader

• 2008 - 2010

- Managing the NSW vetting compliance team on a daily basis to ensure our Service standards were met & the teams quality was always at a high standard- Holding weekly team meetings to discuss team issues / achievements- Liaising with planners, Advice Specialists & Compliance Managers to resolve escalations in a timely and positive manner- Giving feedback & mapping out training schedules for team members on a fortnightly basis- Quality checking the teams work to ensure compliance schedules are correct & all points have been addressed- Conducting regular one-on-one’s with the team members. Show less

Advice service desk consultant

• 2008 - 2010