Deepthi Ravi Kumar Email & Phone Number

St Leonards

My role included assessing advice appropriateness and determining if client compensation owed, building, implementing and monitoring business controls, project managing information from different parts of the business, managing adviser audit workflows, building training material, negotiating on audit outcomes

Sydney

Act as the primary contact point and source of advice/guidance to Licensee senior management; Prepare compliance committee and Board reporting for the RI and FSP AFSLs and present to Board and Committee members on risk and compliance issues; Manage investment and compliance committee charters and compliance plans for the RI and FSP AFSL- Test and validate effectiveness of treatment plans and controls put in place to mitigate risks identified; Implement professional standard polices and business rules within RI and FSP after assessing their operational effectiveness;Provide specialist risk and compliance support for large scale projects

Sydney

Analyse and interpret financial services legislation and establish policies and procedures at a licensee and representative level; Management of the professional standards team; Monitor and oversee the adviser audit and pre-vett program including management of remediation; Provide risk and compliance input into key business projects; Liaise with the regulator (ASIC) in relation to breach reporting and licensing applications

Analyse and interpret financial services legislation and establish policies and procedures for RI Advice Group representatives;Develop and update key legal and business documents;monitor and manage the adviser audit program through supervision of the audit staff in the absence of the Head of Compliance- Provide compliance sign off on business, research and marketing documentation ; Liaise with the regulator (ASIC) in relation to breach reporting and licensing applications; Manage and update the professional standards manual utilised by authorised representatives to ensure all policy and procedure is current and in line with regulatory and business requirements; Manage and update incident and risk registers; Act in the capacity of 2IC to the Head of Advice; Assist the Head of Advice in the preparation and presentation of quarterly Board reports and monthly compliance committee reports and establishment of risk and governance frameworks and project plans

Sydney

Plan and undertake field-based compliance reviews of financial advisors nationally; Prepare and deliver compliance reports and action plans stemming from reviews; Identify and report systemic issues and breaches to senior management; Provide face to face and group based remedial training to advisers and support staff based on issues identified in the compliance reviews; Develop and deliver group based compliance training workshops to authorised representatives and their support staff; Assess and report on client complaints

Sydney

Plan and undertake field-based audits of authorised representatives’ businesses in accordance with Licensee risk management program; Provide remedial training based on issues identified in a timely manner; Vett advice documents to ensure they are compliant and in line with licensee guidelines; Prepare and deliver compliance reports and action plans based on the audits conducted;Provide individual and group based training to authorised representatives and their support staff on compliance issues

- Formulating investment and insurance strategies for clients of advisers at a national level and preparing SoAs- Provide phone based technical and software support to the adviser network- Authorise advisers on the use of high net worth investment strategies- Coach junior Paraplanners on strategy development and SoA writing

Advanced Diploma, Financial Planning

DFP1-8 completed with distinction average, RG146 compliant

Bachelor Of Science, Psychology

Honours degree - graduated with distinction average