Gary Walker Email & Phone Number

New South Wales, Australia

As an Independent Consultant specialising in various facets of financial services, with a particular focus on Risk and Compliance, M&A and practice productivity projects, my role since September 2019 has been dynamic and multifaceted. At the core of my responsibilities is the leadership and oversight of a diverse portfolio of projects and project teams within the financial services sector. A significant aspect of my role involves the precise control and expertise required for Merger and Acquisition (M&A) integration processes. I have been instrumental in ensuring seamless transitions and alignment with strategic objectives during these critical phases of organisational development. My ability to navigate these complexities has been crucial in facilitating smooth transitions.Furthermore, I have been actively involved in the development of comprehensive risk and compliance programs, aligning them with evolving business needs within the 2nd Line of Defence (2LOD) and 3rd Line of Defence (3LOD) functions. My role extends to providing strategic advice and implementing outsourcing and offshoring solutions to enhance efficiency and adapt to changing industry dynamics. Key Achievements:• Led the development of robust Risk and Compliance supervision programs, ensuring regulatory adherence and operational integrity.• Effectively managed advice complaints and remediation programs, safeguarding client interests and maintaining compliance.• Designed comprehensive Risk and Control frameworks, enhancing organisational risk management practices.• Led a project to seamlessly transition SMSF administration responsibilities from the advice practice to a specialist SMSF administrator.• Conducted meticulous financial and due diligence analysis for potential AFSL (Australian Financial Services License) purchase within the context of mergers and acquisitions.

Erina

In my capacity as Group General Manager at HNW Nexus from October 2021 to August 2023, I had the privilege of directing all aspects of this multifaceted financial services organisation. My role encompassed the oversight of operations, strategic direction and overall performance, allowing me to contribute significantly to the organisation's growth and success. A key responsibility was managing the business's Profit and Loss (P&L) responsibilities, providing detailed performance reports to the Board for well-informed decision-making. Moreover, I assumed leadership of the Risk and Compliance functions, taking ownership of Governance, Risk and Compliance (GRC) systems and processes. This role was pivotal in ensuring the organisation's strict adherence to regulatory compliance and maintaining impeccable standards in line with Australian Financial Services law. In addition to these responsibilities, I provided strategic leadership to multiple teams, including sales, sales support and software development. This multifaceted role allowed me to foster a culture of excellence, innovation and continuous improvement within the organisation. I also chaired the Investment and Risk and Compliance Committee, actively overseeing business transformation and technology programs. Key Achievements:• Implemented an enterprise risk management framework, incorporating risk registers and streamlining ASIC reporting for enhanced risk governance.• Established a dynamic investment committee, transitioning from a single consultant to a multi-specialist consultant model and introduced a new governance regime.• Revamped the external adviser and consultant offering, enhancing service quality and effectiveness.• Achieved a significant increase in direct-to-client business by doubling it through a combination of organic growth, M&A activities and strategic joint ventures.

Sydney, Australia

As the Head of Advice at Anne Street Partners, my role was marked by significant transformational efforts within the organisation. A key responsibility was directing the overhaul of our sales approach, transitioning from a traditional upfront sales model to a strategic focus on establishing and nurturing ongoing revenue streams. This shift in strategy was aligned with the broader goal of preparing the business for a potential sale, ensuring its long-term sustainability and value.In addition to strategic redirection, I was responsible for managing all aspects of distribution, spanning advisers, distribution support and marketing endeavours. My aim was to facilitate a seamless transition from the legacy upfront sales model to one centred on building enduring client relationships. Furthermore, I actively sourced strategic partnerships to facilitate client acquisition, while also overseeing the sales Profit and Loss (P&L) to ensure financial sustainability. Simultaneously, I provided subject matter expertise (SME) to support risk and compliance functions, guaranteeing adherence to industry regulations and mitigating potential risks. Additionally, I invested in coaching and developing our team, with a particular focus on nurturing leadership qualities. Key Achievements:• Orchestrated a strategic shift, transitioning the business from an upfront revenue-centric model to a sustainable ongoing revenue focus.• Expanded the distribution team, enhancing the organisation's capacity to reach and serve a broader client base.• Effectively managed the financial transformation, including recapitalisation efforts, to ensure the business's financial health and stability.• Identified and pursued sales opportunities, presenting the business to potential purchasers and overseeing due diligence response processes, including site visits and inspections.

Sydney

During my tenure as a Senior Manager for Advice at BT Financial Group, I had the remarkable opportunity to lead the development of a new business unit known as BT Wealth Connect. My role was instrumental in shaping this innovative unit, providing subject matter expertise and overseeing its entire lifecycle. From its inception to successful launch and ongoing operations, I played a pivotal role in bringing this transformative venture to fruition.One of the most rewarding aspects of my role was managing a diverse team of 70 professionals, comprising leaders, financial advisers and Business Development Managers. I was deeply committed to fostering their professional growth and development, fostering a culture of continuous learning and excellence within the organisation. Through strategic leadership and mentorship, I guided our team toward collective success, ensuring they were well-equipped to meet and exceed our clients' expectations.Additionally, I took on the vital role of being a key Project Subject Matter Expert (SME) for technology development within the organisation. This involved contributing to project management and program design, ensuring that our technological initiatives aligned seamlessly with our business objectives. Moreover, I provided second-line Risk and Compliance oversight, a critical function in guaranteeing our adherence to regulatory requirements and upholding the highest standards of compliance throughout our operations.Key Achievements:• Orchestrated a significant turnaround of an underperforming team, utilising performance management strategies to drive improved results.• Pioneered the implementation of innovative VC technology to establish new business channels with remote branches, enhancing connectivity and operational efficiency.• Successfully built the team's capabilities through targeted performance management efforts, ultimately achieving set targets.

As the Regional Manager for Advice at BT Financial Group, my role was centred around leading and managing a team of 15 dedicated financial advisers. My primary focus was on providing them with guidance, mentorship and unwavering support to enhance their individual and collective performance. Through strategic coaching and support, I helped them excel in their roles and meet their professional goals, contributing to the overall success of the team.In addition to guiding the team, I held the critical responsibility of delivering first-line risk and compliance oversight. This involved ensuring strict adherence to regulatory requirements and company policies, mitigating potential risks and maintaining the highest standards of compliance. By overseeing these aspects, I ensured that our operations ran smoothly and our clients received services that met the most stringent industry standards.Furthermore, I spearheaded change management initiatives that were instrumental in relocating the team to a new business location. This transition was a significant endeavor and my role was pivotal in ensuring its success. By facilitating a seamless transition, I helped the team adapt quickly to the new environment while maintaining operational efficiency, allowing us to continue providing exceptional financial advice to our Westpac retail, business and commercial clients.Key Achievements:• Revitalised an underperforming team through effective performance management strategies.• Pioneered the establishment of innovative business channels with remote branches using cutting-edge VC technology.• Successfully rebuilt the team's capabilities through performance management, resulting in the consistent achievement of targets.• Orchestrated a seamless change management process during the team's relocation, implementing a new partnership model.

In my role as an Advice Capability Coach at BT Financial Group, I played a pivotal role in equipping financial advisers and support teams with the knowledge and tools necessary to excel in their roles. Central to my responsibilities was conducting comprehensive induction training programs that provided essential insights into our systems, processes and technology. These programs were instrumental in enhancing their performance and ensuring they were well-prepared to navigate the complexities of financial advisory services.Another significant aspect of my role involved the design and development of BT Financial Group's Future of Financial Advice (FoFA) training materials. My aim was to ensure that these materials not only met compliance standards but also aligned seamlessly with industry regulations. By implementing this compliance-driven approach, I helped empower our teams with the latest industry knowledge, ultimately contributing to the provision of high-quality financial advice.Furthermore, I managed and delivered training for technology transformation initiatives, an essential component of adapting to the evolving financial landscape. Beyond group training, I provided personalised one-on-one coaching to financial advisers and support teams. This individualised approach facilitated their professional growth and development, allowing them to better serve our clients and stay at the forefront of the financial services industry.

As the Practice Owner and Financial Planner at Bluefin Group, my role was centred around directing and managing all aspects of the Financial Planning Practice. It was my responsibility to ensure that our clients received top-notch financial services and solutions and I took great pride in upholding the highest standards of excellence in our operations. By overseeing and optimising our processes, I was able to maintain a client-centric approach that consistently met and exceeded their expectations.Client acquisition was a critical aspect of my role and I successfully expanded our client base through strategic networking, marketing and relationship-building initiatives. By leveraging these methods, I effectively sourced new clients who sought our expertise in financial planning. This not only contributed to the growth of our practice but also allowed us to extend our personalised financial advice and guidance to a broader audience.At the core of my responsibilities was providing tailored and comprehensive financial advice to our retail clients. Leveraging my expertise in financial planning, I worked closely with each client to understand their unique financial goals and objectives. This approach allowed me to offer customised solutions that aligned with their aspirations, ensuring their financial well-being and fostering lasting client relationships built on trust and expertise.

During my tenure as Managing Partner and Financial Planner at Southern Cross Financial Planning, I had the distinct privilege of leading and managing the Financial Planning Practice. My role encompassed overseeing all facets of operations, ensuring that we delivered exceptional financial services to our valued clients. This included implementing strategic initiatives to enhance the overall client experience, from tailored financial advice to comprehensive financial planning solutions.One of my core responsibilities was the development and nurturing of our financial planners and support teams. I played a pivotal role in coaching and fostering their professional growth, fostering a culture of continuous development and excellence within the organisation. This commitment to investing in our team's capabilities was crucial in consistently delivering high-quality services and maintaining our reputation as trusted financial advisors.In addition to our commitment to client satisfaction, I took the lead in sourcing new clients through effective marketing and business development strategies. By tailoring our approach to meet the unique financial goals of our retail clients, I successfully expanded our client base while delivering personalised financial advice. This multifaceted role allowed us to not only meet but exceed client expectations while achieving sustainable business growth.

Starting my professional career as Sales Support Manager at BCA IT, I had the privilege of overseeing and coordinating Sales Support teams across three states. My primary focus was on ensuring the efficient collaboration of these teams while aligning their efforts with the overarching organisational goals. This involved the strategic deployment of resources and the implementation of effective communication channels to facilitate a seamless workflow.My role also encompassed providing subject matter expertise to facilitate solution design. By leveraging my deep understanding of Information Technology solutions, I played a crucial part in enhancing the quality and effectiveness of the proposed sales solutions. This not only bolstered our ability to meet client needs more precisely but also positioned us as trusted advisors in the eyes of our clientele.Furthermore, I was responsible for managing sales pipeline activities and ensuring the timely response to Request for Tender (RFT) submissions. These efforts were instrumental in optimising our competitive positioning within the market, enabling us to secure valuable contracts and maintain a robust foothold in the highly competitive B2C Information Technology solutions sector.

Certificate, Executive Leadership

Diploma, Training Design And Development

Diploma, Vocational Education And Training

Diploma, Business Administration And Management, General

Diploma, Financial Services; Financial Planning