Jason Rees Email & Phone Number

Melbourne, Victoria, Australia

Melbourne, Victoria, Australia

• Lead the training efforts for existing ClearView/LaVista staff on Alliance Wealth and Professional Investment Services (PIS) adviser audits while training Centrepoint Alliance auditors on ClearView, Matrix, and LaVista.
• Play a pivotal role in integrating audit teams following the ClearView acquisition by Centrepoint Alliance in November 2021.
• Conduct audits of 150+ client files per PSM and contribute to achieving team audit targets, often… Show more
• Conduct audits of 150+ client files per PSM and contribute to achieving team audit targets, often completing the workload ahead of schedule through effective teamwork and diligence.
• Address compliance queries within two business days by offering technical compliance support to team members and managing the Professional Standards inquiry line one day a week.
• Provide crucial support to other Professional Standards Managers through comprehensive peer reviews while completing audits to assist in meeting audit targets and fostering a collaborative and results-driven work.

Melbourne, Victoria, Australia

• Accomplished audit of ~8 Advisers per month and conducted in-depth reviews of a minimum of 4 files per audit while providing on-site audit feedback nationwide and consistently meeting a 10-business-day report.
• Garnered accolades and positive feedback from numerous self-licensed practitioners for valuable support after the LaVista AFSL audit service transitioned to a different team in Centrepoint Alliance.
• Attained completion of 20 LaVista AFSL audits… Show more
• Attained completion of 20 LaVista AFSL audits and client files for over 50 advisers within a year, achieving organisational milestones.
• Streamlined processes to ensure self-licensed businesses received AFSL audits and adviser audits within the 21-day timeframe following promotion to LaVista Advice Consultant role in June 2020.
• Delivered prompt solutions to address all compliance queries within two business days by offering valuable assistance to team members on intricate technical compliance matters.

Melbourne, Victoria, Australia

• Managed and monitored JBWere adviser compliance nationwide by conducting scheduled and thematic compliance reviews for wholesale and retail advice.
• Contributed to compliance initiatives to foster a robust organisational compliance culture among adviser networks for ongoing development and alignment with regulatory standards.
• Reviewed, updated, and authored clear, concise, and evidence-based compliance reports in plain English to enhance transparency and adherence to… Show more
• Reviewed, updated, and authored clear, concise, and evidence-based compliance reports in plain English to enhance transparency and adherence to compliance standards.
• Enabled accurate and timely vetting process by supporting Statement of Advice (SoA) vetting and compliance document sign-off submissions process.
• Mitigated risks to the business and ensured effective resolution of complaints by managing breaches and incidents resulting from adviser activities.

Melbourne, Victoria, Australia

• Managed the self-licensed AFSL and adviser audits within the AMP dealer-to-dealer service provider (Jigsaw), encompassing independently owned businesses and businesses with AMP ownership / equity history.
• Played a vital role in promoting growth and maintaining audit quality by attending recruitment meetings for potential Jigsaw practices, conducting due diligence reviews of advice practice acquisitions, and performing.
• Piloted the… Show more
• Piloted the audit program for all self-licensed practices, including IPAC Securities Limited (now AMP Advice), to ensure consistent compliance and audit quality for a diverse client base.
• Maintained the ten-year self-licensed audit program and demonstrated commitment to ensuring regulatory compliance. Show less

Master’S Degree In Financial Planning

Fasea Approved Graduate Diploma Of Financial Planning

Diploma Of Financial Services (Financial Planning)

Certificate Iv In Finance And Mortgage Broking