Para-Planner & Plan Vetting Consultant

• Jan 2020 - Present

At present I am contracting exclusively to Count Financial Limited as a contract paraplanner. I deal directly with self-employed financial advisers to produce high-quality statements of advice on a contract basis via xPlan, on dealer approved templates provided by the Licensee. I also assist Count Financial Compliance Department with plan vetting for new advisers or advisers on pre-vet on a contract basis. Preparing and peer-reviewing simple and complex advice documents in a timely and compliant manner. Experience preparing statements of advice across a range of areas - superannuation, retirement, wealth accumulation, risk, gearing, SMSF, LRBA, and aged care. Providing a technical sounding board for advisers when assistance is required. Coordinating efforts to gather data and assist Financial Advisors with product research prior to product proposals. Preparing presentations and proposals for High Net Worth and institutional clients and prospects. Creating portfolio snapshots, researching investments, and providing fund reports upon request. Using processes and systems proactively whilst supporting the delivery of advice solutions and process enhancements. Acting with purpose and integrity to ensure my products and services are provided honestly, fairly and are free of any conflicts of interest. Show less

Para-planner & Plan Vetting Consultant

• Jun 2007 - Jan 2020

As an Authorised Representative, I provided contract Paraplanning services exclusively to Bridges Financial Services. I dealt directly with self-employed financial advisers to produce high-quality financial plans and assist with compliance issues/file checks prior to audits. I also provided contract services directly to Bridges Compliance Department as a Plan Vetting specialist. 𝗥𝗲𝘀𝗽𝗼𝗻𝘀𝗶𝗯𝗶𝗹𝗶𝘁𝗶𝗲𝘀: Ensuring advice documents written by the paraplanning unit were compliant as outlined by Licensee guidelines, and that strategies were sound and in the best interest of the client. Preparing and peer-reviewing simple and complex advice documents in a timely and compliant manner. Providing a technical sounding board for advisers as required. Work closely with Paraplanning Department to ensure advice templates were current, and to improve efficiency. Work closely with Compliance Department to mentor new/underperforming advisers to ensure advice documents were prepared to Licensee standards. Coordinating efforts to gather data and assist Financial Advisors with product research prior to product proposals. Creating portfolio snapshots, researching investments, and providing fund reports upon request. Generating periodic reports, investment analysis and peer group comparisons with relevant investment benchmarks. Assisting advisers with portfolio construction, in light of APL restrictions and client objectives. Assisting Advisors in customizing marketing materials, including pitch books, communication campaigns, newsletters, etc. Acting with purpose and integrity to ensure my products and services are provided honestly, fairly and are free of any conflicts of interest. Show less

Financial Planning Graduate

• Mar 2007 - Jun 2007

This graduate program consisted of committing to a contracted period during this time the graduate is mentored by financial planners and insurance specialists in preparation for such a role. This graduate program consisted of committing to a contracted period during this time the graduate is mentored by financial planners and insurance specialists in preparation for such a role.

Paraplanner

• Nov 2006 - Feb 2007

This short-term contract role at Bridges Financial Services led to the eventual offer to partner with them as a contract/ self-employed paraplanner and Plan Vetter/Checker. 𝗥𝗲𝘀𝗽𝗼𝗻𝘀𝗶𝗯𝗶𝗹𝗶𝘁𝗶𝗲𝘀: Creating and updating templates in XPlan to improve workflow efficiencies Maintain data feeds and CommPay mappings in XPlan Providing assistance to advisers in attending to ad-hoc client queries Following through on client requests in a timely and professional manner Liaising with brokers, fund managers, platform providers, accountants and lawyers as required File maintenance and scanning Providing assistance to advisers in the preparation of Statements of Advice and Records of Advice that may include: - Developing strategies for clients - Investment selection and management - Insurance analysis - Superfund enquiries - Centrelink updates - Preparation and implementation of paperwork for clients Show less

Paraplanner | Assistant Financial Advisor

• Nov 2002 - Nov 2006

The core purpose for this role was to assist Advisors with several important elements of the financial planning process, including, and not limited to collecting all required data from a current or prospective client, including assets, liabilities, insurance policies, estate documents, and tax returns. Inputting retirement planning information into planning software 𝗥𝗲𝘀𝗽𝗼𝗻𝘀𝗶𝗯𝗶𝗹𝗶𝘁𝗶𝗲𝘀: Coordinate efforts to gather data and assist Financial Advisors in preparing responses to requests for proposals (RFPs)  Prepare portfolio analyses for High Net Worth and institutional clients  Assist with drafting and maintaining investment policy statements (IPS) for clients Generate periodic reports on investment analyses and peer group comparisons with relevant investment benchmarks for clients Create portfolio snapshots, researching investments and providing fund reports upon request to clients Assisted Financial Advisors to customize their marketing materials, including pitch books, communication campaigns, newsletters, etc Developed and maintain checklists for tracking periodic investment managers' reviews by a third party and independent investment manager searches Utilise Client Relations Management tools Preparing and delivering clear, effective and professional presentations Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels Keep all appropriate parties up to date on decisions, changes and other relevant information Show less

Dealing Assistant / Trainee Stockbroker

• 2000 - 2002

Money Market Settlements Officer

• 1998 - 2000