Joe Tan Email & Phone Number

Melbourne, Victoria, Australia

Contractor Case Assessor in a remediation program for a nationwide financial services firm.

Completing Quality Assurance checks of financial advice reviews to ensure compliant, high quality, client centric outcomes are reached. Developing and implementing continuous improvements to the Policy and Procedures framework to support key stakeholders.Identifying key Adviser themes and knowledge gaps to develop and provide training and coaching to the.

Completed reviews of financial advice to assess the appropriateness and calculate potential loss where identified. Engaged with Clients supporting them through the process and explaining outcomes and potential remediation solutions. Peer checking and training of junior staff.

Construction and Pre-vetting of Statements of Advice in a range of advice areas to meet adviser requirements and complying with respective legislation and licensee standards.

Newcastle, NSW

Working closely with the practice principal. Was responsible for providing support as a paraplanner. Which involved conducting research, formulating strategies/advice, reviews and preparing advice documentation and reports.In Client Services, supported principal with assisting Clients through the advice process. This involved attending client meetings.

London, United Kingdom

I was responsible for:- Research, formulating strategies/advice, preparing technical reports and advice documentation. - Review of existing clients financial arrangements. - Attending client meetings.- Compliance and Administration.The client base of the practice consisted mainly of HNW clients, Small & Medium Businesses. Areas of advice that was provided.

Sydney Area, Australia

In this role I was responsible for the monitoring and supervision of financial planner's advice, documentation and processes. This involved undertaking Advice Quality reviews (Centralised and Onsite) of adviser files. Then providing comprehensive feedback and relevant reports to the advisers and licensee management regarding the Advice Quality Assessment..

Sydney, Australia

Manage ASIC and licensee vetting requirements, documentation and records for financial planners licensed through Financial Wisdom & Commonwealth Financial Planning. Also maintained various databases and produced reports to management.

Sydney, Australia

Processing new business insurance applications. This also included assisting underwriters, internal staff and financial advisers with additional requirements for the application process and queries.