Brock Vennell Email & Phone Number

Port Macquarie, New South Wales, Australia

Port Macquarie, New South Wales, Australia

Maintain a portfolio of clients from SME’s to large multi entity clients with turnover up to $10 millionProvide strategies to clients in relation to budgeting and cash flow planning, tax and business structuring Prepare tax compliance for all entities Responsible for management, supervision and training of junior staff.

Port Macquarie, New South Wales, Australia

Provide key support to Director in all aspects of the business.Review and support off-shore based employees

Sydney, New South Wales, Australia

• Lead global reviews of transactional data to identify potential misconduct including insider trading and market manipulation.• Take a lead role to ensure significant risk are identified and promptly escalated.• Continually enhance tactical review to incorporate additional data sets and risk indicators

Sydney, Australia

• Lead a team of 5 people and mentorship of new entrants into the team. • Provide detailed reporting of key risks to the Group.• Complete recurring review of financial planner activity • Investigate potential fraud, theft and breaches of Corporations law.• Communicate and share insights with key stakeholders across the Group.

Sydney, Australia

• Lead a team of 5 including 2 data analysts and 2 triage / compliance analysts.• Oversee management of the early warning system identifying potentially inappropriate planner behaviour.• Complete data collection and analysis across a range of key risk indicators (KRIs) to identify potential issues in the provision of advice by planners. • Review existing metrics and provide recommendations for development of new metrics.• Communicate, complete training and share insights with key stakeholders to the group.

Sydney, Australia

Sydney City

• Completed multiple surveillances looking for fraud/theft and to ensure Financial Advisers compliance with the law, including onsite visits as well as desk-based reviews of material. • Completed research on matters relating to operational and policy work.• Prepared briefs of evidence for use by ASIC Delegates.• Contributed in multi-skilled project teams.• Issued infringement notices and ASIC Notices.

Sydney, Australia

Northern Nsw

Adfp Advanced Diploma Financial Planning, Financial Planning And Services

Cpa

Dip Fp, Financial Planning And Services

Commerce & Economics