Dena Phuah Email & Phone Number

Sydney, New South Wales, Australia

• Responsibilities:
• Ongoing review and monitoring of Licensees and Advisers that distribute CFS products.
• End to end management of Adviser risk and conduct matters including the review and investigation of referrals, engagement with Licensees and the prompt and efficient review of responses.
• Ensuring review, investigation and assessment of responses is consistent with guidelines and precedent.
• Identification and timely escalation of matters potentially reportable to the regulator.
• Identification of root causes of issues and contributing to solutions towards the refinement and improvement to our approach in the proactive management of risks associated with conducting business through Advisers.

Sydney, New South Wales, Australia

• Responsibilities:
• Mentoring, coaching and managing a team of 13 high-performance Case Assessors (CA), ensuring they meet expected quality and productivity performance targets and deliver outcomes aligned to KPIs.
• Continuously training the team and uplifting their knowledge and skillsets.
• Building strong relationships with business stakeholders, including other operational and support teams.
• Creating a culture of continuous improvement and operational excellence.Achievements:
• Successfully established a strong operating rhythm within my team in a fast-paced, deadline driven environment.

Sydney, New South Wales, Australia

• Responsibilities:
• Assess the compliance of Financial Planners against key legislative and regulatory obligations, professional standards, business rules and quality advice standards in order to identify training gaps, thematic issues.
• Conduct reviews on Planner files, customer interview notes and Planner practice certification using standard processes and criteria, in order to remain independent and ensure consistency of outcomes in alignment with.
• Collaborate with Planners and their Advice Managers by providing feedback and remediation actions via a detailed and concise report and coaching sessions.
• Identify knowledge gap and if further Planner training is required.
• Continually identify and raise opportunities for process efficiency, improvements and effectiveness to the development of a sustainable business whilst adhering to the standards of compliance and Business.

Sydney, New South Wales, Australia

• Responsibilities:
• Produce comprehensive, complex and compliant Statement of Advice (SoA) that meets the customers’ objective and goals, in line with the industry regulations and business rules ensuring the advice places the customers in.
• Apply technical knowledge and writing skills to ensure the SoAs produced are of high quality and written in a clear and concise manner.
• Assess if the recommended strategies are a risk to the customers and the Business and if changes are required, to work with the Planners.
• Establish, build and maintain effective working relationships with the Planners, their Managers and other relevant stakeholders.
• Proactively identify and escalate potential risks, issues or opportunities for improvements.

Sydney, New South Wales, Australia

• Responsibilities:
• Produce comprehensive and compliant Statement of Advice (SoA) that meets the customers’ objective and goals, is in line with the business rules and industry regulations and will place them in a better position.
• Apply technical knowledge and writing skills to ensure the SoAs produced are of high quality, written in a clear and concise manner to ensure customers’ understanding.
• Assist Planners with producing and modelling strategies.
• Proficient in using the Xplan software in modelling strategies.
• Identify if there are any risks to the customers and the Business in the recommended strategies.

Sydney, New South Wales, Australia

• Responsibilities:
• Managing complaints referred to Group Customer Relations (GCR) directly from customers and from the Australian Financial Complaints Authority (AFCA).
• Investigate and resolve complaints and disputes in a timely manner relating to financial advice provided by the Group and its licensees.
• Establish, build and maintain rapport with customers and Business stakeholders.
• Apply technical knowledge when investigating complaints and assessing all documents to ensure the right outcome for the customers and the Business.
• Apply verbal and writing skills in delivering outcomes ensuring they are expressed in a professional manner that is clear, concise and easily understood by our customers.

Sydney, New South Wales, Australia

• Responsibilities:
• Produce comprehensive and compliant Statement of Advice (SoA) that meets the customers’ objective and goals, is in line with the business rules and industry regulations and will place them in a better position.
• Apply technical knowledge and writing skills to ensure the SoAs produced are of high quality, written in a clear and concise manner to ensure customers’ understanding.
• Assist Planners with producing and modelling strategies.
• Proficient in using the Xplan software in modelling strategies.
• Identify if there are any risks to the customers and the Business in the recommended strategies.

North Sydney, New South Wales, Australia

• Responsibilities:
• Work closely with the Planners in developing and modelling strategies and SoA preparation.
• Establish, build and maintain rapport with customers, stakeholders and external suppliers.
• Assist in managing and mentoring the Financial Planning support team in the Philippines and training the interns in Australia.
• Managing current and new customers’ needs ensuring a seamless end-to-end experience.
• Collaborate with various internal and external stakeholders to ensure the implementation of the recommendations are established in an accurate and timely manner.Achievements:

Bachelor Of Commerce - Bcom, Accounting

Smsf Accreditation, Financial Planning And Services

Diploma Of Financial Services, Financial Planning And Services