Claudia Evans Email and Phone Number
Claudia Evans work email
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Claudia Evans personal email
I’m a Financial Services Professional with extensive experience in the financial services industry, with proficiency and capability in leading teams, providing risk, compliance and governance advice as well as guidance on business processes and procedures. Some of my key strengths include:• Ability to lead self, individuals, teams and manage projects• Coach, mentor and develop capability • Planning and prioritising skills to maintain operational efficiencies • Experienced in Quality Assurance to ensure adherence to compliance, risk controls and legislation• Managing stakeholder relationships at all levels• Strong focus on client relationships to retain existing clients and secure new clients• Overseeing budgets, including identifying revenue and expense trends
Vanguard
View- Website:
- vanguard.com
- Employees:
- 19280
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Employee Compliance ManagerVanguard Jul 2023 - PresentMelbourne, Victoria, AustraliaResponsible for the management of employee compliance programs, including supporting the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. Advise the business and provide guidance and oversight of regulated activities.
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Business Oversight ConsultantNab May 2021 - Jul 2023Melbourne, Victoria, AustraliaProactively managed risk, meeting all policy and compliance requirements, performed controls and assisted teams to understand and adhere to process and procedures pertinent to their role. Escalated events, issues or breaches as they were identified and managed potential adviser conduct concerns identified in the Wealth Remediation Program. -
Business Risk And Compliance AdviserLgt Crestone Wealth Management Limited Mar 2020 - Apr 2021Melbourne, AustraliaSupported and advised the advisory business and their first line of defence to ensure all regulatory standards and compliance requirements were fulfilled, including monitoring and supervision of adviser compliance. -
Senior Manager And Team Lead, Regulatory Engagement - Advice ComplianceAmp May 2019 - Feb 2020Melbourne, AustraliaLed a team responsible for responding to notices from the regulator with oversight for resolution of reportable breaches, regulator liaison and compiling responses to regulator directives. -
Professional Standards - Advice RemediationAmp Mar 2017 - Apr 2019Melbourne, AustraliaProvided leadership and coaching to a team responsible for delivering the design, creation and maintenance of the various policy, methodology and framework under which the review and remediation program operates.
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Manager, Start CountingNational Australia Bank Oct 2014 - Sep 2016Docklands, Melbourne VicLed the team and delivery of the Start Counting Program, (a behavioural change program designed to empower women with financial knowledge), part of NAB's Corporate Social Responsibility initiatives.
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National Manager, Advice - Nab Financial PlanningNational Australia Bank Jul 2008 - Sep 2014Docklands, Melbourne VicLed and managed a team responsible for the continuous improvement of advice processes, maintenance of compliance and quality standards and delivery of effective training and skilling programs to over 600 financial advisers and 300 licensee staff.
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National Manager, Paraplanning And Vetting DivisionNational Australia Bank 2004 - Jun 2008Led and managed a team of paraplanners and was responsible for the delivery of paraplanning and vetting services to the NAB Financial Planning adviser network.
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Senior ParaplannerMlc Limited Mar 2001 - May 2004Supported financial planners in their delivery of a superior customer advice experience through the provision of a quality paraplanning service. -
Customer Service Manager/ParaplannerWestpac 1998 - 2001
Claudia Evans Skills
Claudia Evans Education Details
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Economics -
Advanced Diploma Of Financial Planning, (Aqf 6) -
Loreto College, Adelaide SaYear 12
Frequently Asked Questions about Claudia Evans
What company does Claudia Evans work for?
Claudia Evans works for Vanguard
What is Claudia Evans's role at the current company?
Claudia Evans's current role is Employee Compliance Manager.
What is Claudia Evans's email address?
Claudia Evans's email address is cl****@****.com.au
What schools did Claudia Evans attend?
Claudia Evans attended Monash University, Deakin University, Loreto College, Adelaide Sa.
What are some of Claudia Evans's interests?
Claudia Evans has interest in Women In Finance, Corporate Responsibility, Sport, Food And Wine, Arts, Philanthropy, Financial Planning.
What skills is Claudia Evans known for?
Claudia Evans has skills like Financial Planning, Wealth Management, Finance, Investments, Business Process Improvement, Wealth Management Services, Superannuation, Strategic Financial Planning, Project Delivery, Customer Service, Women's Issues, Women's Leadership.
Who are Claudia Evans's colleagues?
Claudia Evans's colleagues are Ben Field, Cfa, Venkat R R D, Kelly Spletzer, Daniel Shaykevich, Tarun Naga, Abraham Okorodudu, Nicole Schmidt.
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