Brett Jasper Email & Phone Number

Sydney, Nsw, Au

Sydney, New South Wales, Australia

Sydney, Australia

SME to Advice Channels with regard to appropriate financial planning remediation actions.Guide remediation Working Groups comprising of representatives from the Advice Channels, Legal, First and Second Line Risk.Conduct assurance over remediation work and produce Assurance Reports for Legal and Senior Management.Conduct client file, platform and client account reviews to identify potential financial planning concerns. Validate concerns with customer care calls. Make recommendations to facilitate remediation.Attend meetings and assist with responses to Regulatory Notices.One of 60 recognised in the BT Blue Program November 2018 for being customer focused, commercial and connected. Successful BT Blue candidates are considered to be brand ambassadors who consistently drive excellence, innovation and set the benchmarks for the BT organisation.

Key stakeholder responsible for all compliance requirements of both the AFSL & the ACL.Lead a team of three Compliance Officers.Liaison & promotion of Count’s compliance interests with Colonial First State (CFS) Wealth Management (WM) advice.Responsible for the formal identification and recording issues, liaison with line two Risk Management personnel, documenting monthly updates & implementing solutions.Manage client complaints from beginning to end. This includes investigations, mediation, determinations, formal responses, dealing with the Financial Ombudsman Service & the provision of settlement offers. Intermediary & coordinator of key resources such as Group Customer Relations (GCR), CBA Legal, PI insurers & panel lawyers. Liaise with & advise key authorities such as Count’s Legal Counsel, CEO & CFO.Attend & provide advice & solutions to projects aimed at enhancing Count’s product offering to it advisers. Point of contact & recurring interactions with regulatory bodies such as ASIC, AUSTRAC & APRA & industry bodies such as FPA, IFSA & SPAA.Key contributor/provider of documents tabled at the Risk & Compliance Forum.Identify material issues of relevance to the Licensee Risk Committee (LRC).Manage compliance officers in the appointment, ongoing support & cancellation of Authorised Representatives.Mentor to six member services staff dedicated to dealing with day to day queries from Authorised Representatives & approval/vetting of advice & other compliance documentation.Count subject matter expert & mentor to five quality advice auditors.Communicate updates to the Count network via tailored compliance articles published in Count Weekly.Responsible for anti-money laundering processes & procedures, mitigation, monitoring & supervision.Develop & present compliance presentations for both the AFSL & the ACL at annual conference & professional development days.Create new & review existing policies & procedures.

Conduct Licensee reviews in NSW & QLD with consideration to authorisations/organisational competency/business processes/privacy act requirements/key business documents/marketing & promotional material/product research/software & IT/financial capacity/appointing, supervision & monitoring of Representatives/ongoing training/dispute resolution/breach identification & reporting/outsourcing/risk management/conflicts of interest/anti money laundering etc.Conduct interviews onsite with Financial Advisers in NSW, QLD, ACT review business practices & critically analyse procedures & compliance documentation.Provide debriefs & formal reports to Licensees & Advisers, highlighting compliance shortfalls & recommending corrective actions.Facilitate & mentor compliance committee meetings for Responsible Managers & other management as necessary, producing formal minutes on completion.Guide & assist Licensee’s in production of new proof documents (i.e. B1 & A5), implement new policies for procedures, complete & lodge FS03 in order to obtain new licence authorities i.e. Margin Lending authorities.Assist Licensee’s in addressing queries by ASIC & preparing for any subsequent meetings.Analyse Licencee documentation provided to authorised representatives, identify areas to be improved & draft replacement documentation.Monitor & research new developments in the financial services industry, provide summaries to Acompli management & to client Licensees.Point of contact for Responsible Managers & Authorised Representatives to directly approach for advice on compliance matters.Public speaking on compliance at seminars to authorised representatives.

Interview clients to determine circumstances & optimise their tax position.Report to & liaise with management on issues regarding client taxation matters.Undertake research, work papers, & final documents for company income & expenses, financial position, & income tax returns.Undertake & complete other forms of taxation such as Business Activity Statements, Fringe Benefits Tax, PAYG etc.Specialised in negotiating with employer’s the tax packaging for senior expatriate employees.Provide in-house training sessions for Accountants on recent developments in accounting industry.Successfully completed Chartered Accountant module for Tax.

Advanced Diploma Of Financial Services, Financial Planning And Services

Diploma Of Financial Services, Financial Planning And Services

Bachelor Of Commerce (B.Com.), Accounting & Finance Majors

Diploma Of Human & Resource Management

Manage & oversee staff operations. Manage departmental maintenance, maintain inventory & fixed jobs log, co-ordinate training, control.

Certificate Iv In Frontline Management

Manage personal work priorities & professional development, provide leadership in the workplace, establish & manage effective workplace.

Certificate In Vocational Instruction

Accomplished in instructional roles, training system concepts, adult learning principles, motivation, use of training & learning aids.