Experience

JBWere New Zealand

• New Zealand
• Financial Services
• 1 - 100 Employee

• Compliance Specialist

  • Nov 2022 - Present

  • Risk identification, qualification, and management; • Development and maintenance of Risk and Compliance policies and frameworks; • Training and education (induction, and ongoing) - driving a risk and compliance culture throughout the firm; • Monitoring related to AML/CFT obligations, NZX rules, and FMCA (including FSLAA obligations); • Ensuring regulatory and legal obligations are met through appropriate monitoring and reporting; • Reporting to NZX, risk committees, and boards; • Regulatory assistance for new projects and process changes; • Assisting the Senior Compliance Manager and Head of Legal, Risk, and Compliance in their role as the liaison point with Regulators / external parties; • Breach assessments; • Managing day-to-day queries raised by the business. Show less



Generate KiwiSaver Scheme

• New Zealand
• Investment Management
• 1 - 100 Employee

• Client Relations Quality Assurance Manager

  • Mar 2022 - Oct 2022

  • Managing 4 Team Leaders, and the technical capability of the entire Client Relations division with approx. 30 staff across the Onboarding, Inbound, Admin, and Complex Withdrawals teams. • Escalation point for serious customer complaints, incidents, breaches, and high-risk queries. • Ensuring efficiencies on processes, meeting SLAs, and Quality Assurance standards. • General HR administration and recruitment, including onboarding, induction, training, and conduct assessments. • Implementation of new processes and improvements, including policies and quality assurance checks in accordance with the Compliance Assurance Programme. • Key person in the CRM division, constantly liaising and collaborating with senior managers such as the General Counsel, Head of Compliance, Head of Risk, Head of Operations, COO, CTO, and CEO. • Collaborating with the following: BCP, Gap analysis for the business – FAP licence requirements assessment and reporting, PDP, Cybersecurity, QA frameworks, assisting Compliance during AML/CFT audits, training team on policies related to vulnerable members and complaints. • Contribution to several ad hoc projects: Amazon Connect migration, Training schedule, Complaints dashboard – assessment of trends, and implementation of controls, KiwiSaver and Managed Funds complex account applications design in Salesforce, and new funds launch. Show less

• Quality Assurance Manager - Complex Withdrawals Team

  • May 2021 - Mar 2022

  • Managing the CRM Complex Withdrawals team – 4 staff, and assisting other CRM teams with quality assurance, and documenting processes and procedures. • Escalation point for the team’s serious customer complaints and high-risk issues. • Managing the technical capability of the team, ensuring Significant Financial Hardship and Serious illness withdrawal applications were processed efficiently as per the guidelines. • Ensuring AML & CFT requirements were met, along with the KiwiSaver legislation. • Conducting assurance checks on calls, emails, and withdrawal applications. • Assessing achievement of KPIs, ensuring that they were complying with Generate Conduct and AML policies. • Assisting with the testing, and implementation of new systems and processes such as the Salesforce Financial Services Cloud platform and Amazon (AWS) Connect Services. • Ad hoc project completed: Email templates for the CRM division, in order to bring consistency and compliance to all communications. Show less

• Client Relationship Manager

  • Nov 2017 - May 2021

  • Processing and onboarding KiwiSaver and Managed funds accounts. • Inbound and outbound calls with clients and stakeholders such as the Supervisor, Registry team, and financial advisers. • Responding to clients' enquiries via email and online chat. • KiwiSaver withdrawals processing including Significant financial hardship and Serious illness. • Liaising with the Compliance team to assist on AML monitoring & testing activities across the CRM function, escalating concerns related to suspicious activities, and conducting regular Customer Due Diligence (CDD) checks on all large payments received. • Compliance tasks performed included: quality control calls, investor confirmation form reporting reassuring the scope of advice given, new member and exit survey reporting, NPS calculation, identifying and managing feedback, issues and complaints, and ensuring clients have received the Product Disclosure Statement. • Project management: implementing a new outsourced stationery order system for advisers, presenting, and training a large group of advisers. • Suggested several changes in current processes focused on continuous improvement and client satisfaction. Show less



Banco do Brasil

• Banking
• 700 & Above Employee

• Banking Assistant Manager

  • Apr 2012 - Dec 2016

  • Opening business and personal accounts, in accordance with the AML & CFT requirements. • Assisting corporate clients with banking queries. • Monitoring portfolios and assisting with sales – full range of loans, insurances, and managed investment funds. • Outbound and inbound calls with clients and stakeholders. • Training personnel on how to use new CRM internal systems. • Building long-lasting relationships with our clients, always focusing on achieving their satisfaction. • Award received in 2013 – Best seller of Insurance policies. • President of the branch’s Communication and Self-Development Team in 2016. Show less



EMATER-MG

• Brazil
• Farming
• 700 & Above Employee

• Market Advisor Intern

  • May 2009 - Nov 2009

  • Intern in the largest public company in Technical Assistance and Rural Extension sector in Brazil. • Collecting and compiling price data of agricultural products for analysis. • Contacting companies and farmers to assist in the measurement of results and subsequent assistance to those farmers. • Intern in the largest public company in Technical Assistance and Rural Extension sector in Brazil. • Collecting and compiling price data of agricultural products for analysis. • Contacting companies and farmers to assist in the measurement of results and subsequent assistance to those farmers.



UFLA Júnior Consultoria Administrativa

• Brazil
• Business Consulting and Services
• 1 - 100 Employee

• Marketing Director & Consultant

  • Mar 2008 - Jun 2009

  • Volunteer Marketing Director in a junior consulting company located at the university campus. • Managing the Marketing team. • Developing Marketing Strategic Plans. • Providing a market research project for a business. • Engaging with the National Junior Enterprise Movement events. • Organising academic events at the University. • Member of the Events Department. • Writing business articles for a local newspaper. • Providing interviews about the business on TV channels. • Volunteer Marketing Director in a junior consulting company located at the university campus. • Managing the Marketing team. • Developing Marketing Strategic Plans. • Providing a market research project for a business. • Engaging with the National Junior Enterprise Movement events. • Organising academic events at the University. • Member of the Events Department. • Writing business articles for a local newspaper. • Providing interviews about the business on TV channels.