Key Responsibilities:•Senior Case Assessor/Quality Assurance Assessor in an Australian major financial services provider’s remediation program in managing financial planning compliance (non-disclosure clause applies to identity of the consultancy firm and financial services provider).•Conducted quality assurance reviews of diverse and complex financial advice, including superannuation, insurance and investment advice, to ensure cases were assessed in line with Advice Remediation Guidelines. •Formally documented quality assurance findings and provided constructive, clear, and consistent feedback to case assessors. Supported case assessors with case problem solving and appropriate escalation of issues.•As Senior Case Assessor, assessed, investigated, analysed and validated past financial advice against legislative requirements and compliance standards and reported case outcomes.

Key Responsibilities:•Senior Case Assessor in an Australian major financial services provider’s remediation program in managing financial planning compliance (non-disclosure clause applies to identity of the consultancy firm and financial services provider).•Assessed, investigated, analysed and validated past financial advice including superannuation, insurance and investment against legislative requirements and compliance standards and reported case outcomes.

Key responsibilities:•Assessed financial advice with a focus on best interest duty and appropriateness of the advice, given the relevant circumstances of the client. Reported case outcomes.•Contribute to the team’s delivery of projects focussing on particular remediation concerns, including corporate actions and contribution fees.

Supervise, evaluate, and manage compliance risks for the various BT Financial Advice channels (salaried and self-employed advisers). Key responsibilities:•Conducting compliance audits across the BT Advice channels (salaried and self-employed advisers). Provide constructive, clear and consistent feedback to advisers regarding compliance audit outcomes, including best practice suggestions and remediation actions needed.•Provide guidance and training to advisers and support staff regarding compliance issues.•Identification, appropriate reporting and escalation of systemic issues.

Key responsibilities:•Collaborated one on one with paraplanners from BT Financial Group Partnerships across Australia to understand and deliver financial advice coaching needs. Developed fit for purpose coaching advice to build individual capabilities, financial advice knowledge and advice document preparation skills for each paraplanner.•Oversaw and reviewed complex advice documents and provided constructive feedback to build individual paraplanner’s capabilities and improve outcomes for the Partnerships.•Designed and delivered training on relevant technical and business policy requirements.•Managed requests for support and guidance regarding compliance, business policy and advice document generation issues.

Key Responsibilities:•Prepared complex Statements of Advice and provided support for advisers regarding strategy development, compliance, and business policies.•Vetting of advice documents for and coaching/mentoring junior paraplanners and new paraplanning staff.•Contributed to Paraplanning projects, including projects to review compliance policies and paraplanning processes to identify ‘pain points’ and streamline processes.