Leading a team of process specialists and data analysis professionals in the design and development of the financial advice technology stack, including Salesforce. Our purpose is to work with the business to set strategic priorities, engage with stakeholders and assist them to streamline their processes and create efficiency through technology and automation.

Business controlsDevelop, maintain and execute a suite of business controls to ensure compliance with professional standards.Advice remediationIdentifying and initiating advice remediation activitiesGovernance InitiativesIdentify and develop innovative solutions to enhance financial service governance frameworks and processes.

Develop strategic initiatives for the future state of wealth management complianceDeliver, maintain and develop an automated compliance solution for the monitoring and supervision of Representatives and Authorised Representatives of IOOF.Coordinate the implementation of complimentary processes and procedures used by the CAPS Team for Adviser Compliance Audits and other compliance programs.

Undertake compliance audits for Advisers within the IOOF Network throughout Australia.Manage the development and integration of a monitoring and supervision system for the Legal, Risk and Compliance departmentResponsible for the ongoing development of the monitoring and supervision system to ensure continued improvement Conduct the assessment, management and reporting of breaches and incidents as required.Provide general compliance support to Advisers and business partnersHandle client and adviser dispute resolutionProvide training and mentoring for advisers on compliance methodologyPrepare reports to key stakeholders regarding CAPS activities

Communicate compliance solutions to the IOOF networkInterpret and apply statutory and regulatory requirements whilst balancing business needs.Manage allocated audits and provide effective audit reports in a timely fashion.Identify, evaluate and manage compliance risks amongst associates and influence change to minimise risks.Follow up associates to ensure any changes implemented from the audit process are maintained.Mentor associates on compliance methodology.Prepare management reports as required

My role as a Compliance Administrator required me to:Organise and assist compliance audits of financial planning practices and reporting to the Head of Compliance with the findings.Assist the resolution of client complaintsAssist the analysis client files to determine if the advice and documentation meets legislation requirementsConsult with third parties including the professional indemnity insurer and legal personnel in the process of resolving complaintsOrganise and attend dispute conciliation meetings between the client, licensee and other relevant third parties.Consult with advisers on compliance and other issuesAssist the licensee in professional development days and other sales campaigns Manage the compliance database and compliants register

Identify opportunities to attain new customers.Exceed sales targets and the corresponding quality measures.Develop a thorough knowledge of compliance proceduresHelp implement changes to policies and procedures within the branch. Identify and present ideas for continuous improvement in common procedures within the branch environment.