Compliance consulting to small business including developing efficient internal processes to assist in helping them and thrive in the financial planning industry

Financial planning

Member of the board.

Optimo Financial was a start up business. The owners have developed mathematically based software which can take a clients situation and optimise it via exploring all the potential options for that client within a few minutes. I was hired to be the responsible manager in order to make sure we are compliant and to manage the financial planning business. I was also hired to direct the business; I was the only employee who had worked within the financial services industry at that time and was relied upon for my expertise.Financial Planning Manager / Responsible Manager (compliance)• Developing an Approved Product List• All compliance related tasks • Developing and revising the business plan• Developing the budget• Directing the business• Develop marketing material• Develop marketing plan• Develop all financial planning documents (FSG, Fact Find, privacy policy etc)• Responsible for the licence and other staff• Training and developing staff• Sourcing referrals• Running and presenting seminars• Providing financial advice to clients• Working with X-Plan software and mathematical Pathfinder software• Business development • Specialising in – Investments, Tax law and structures, Superannuation, Insurance, Wealth Creation and preservation, Self Managed Super Funds, Investment and portfolio management, Social Security and retirement planning

Commonwealth Financial Planning had expressed an interest in hiring me in 2007 however at the time I was offered an opportunity by the then current employer which I could not refuse. A year later I was approached as they still had an interest in hiring me and produced an offer. Financial Planner at 48 Martin Place, Sydney• Sourcing referrals• Training and developing staff• Financial Planning Presentations to staff• Running Seminars for clients and potential clients• Provide Financial Advice to customers/clients• Financial planning general tasks

Absolute Financial is a boutique financial planning business which was a corporate authorised representative of Great Pacific Securities. Absolute Financial was going through a period of change where one of the directors was leaving after 5 years of service. I was hired to be the financial planner who would take over from the departing director. I was also hired to develop and implement a business plan to improve the service, customer relations and compliance as the previous director had let these areas suffer. Whilst at Absolute Financial I completed my diploma and advanced diploma in financial planning. Once I had acquired skills and knowledge, I was promoted to senior financial planner/financial planning manager.Senior Financial Planner / Financial Planning Manager (HNW clients) (began as a financial planner but received a promotion)• Managing staff• Human Resource Tasks• Developing processes• Developing new business• Staff Training• Annual Reviews• Statements of Advice• Correspondence for clients• Changing brokers• General correspondence to clients• Set up Companies/Trusts/SMSF(Self Managed Super funds)• Prepare all documents for clients for their Tax • Meet with clients; client valuations• Research • Set Budgets• Set targets for staff• Financial planning• Specialising in – Investments, Tax law and structures, Superannuation, Insurance, Wealth Creation and preservation, Self Managed Super Funds, Investment and portfolio management, Social Security and retirement planning