Kimberley C. Email & Phone Number

Melbourne, Vic, Au

Melbourne, Victoria, Australia

Ensure regulatory compliance for Funds Management and Platform services at Centric Capital. My role involves transaction and compliance monitoring, managing audits, conducting risk assessments, and addressing incidents, breaches, and complaints to ensure alignment with regulatory requirements.

Melbourne, Victoria, Australia

Worked in NAB’s Customer Response Initiative – Advice Remediation Program which ensures compliance with financial advice regulations, prioritising prompt resolution through collaborative efforts across departments.

Melbourne, Victoria, Australia

Worked in a team that is responsible for the advice remediation program carried out by one of Australia’s largest financial services companies for review and improvement purposes.As a Quality Assurance Specialist, I focused on ensuring that assessments were conducted in accordance with established processes and guidelines while maintaining a high level of quality. My role involved analysing and validating financial advice to ensure compliance with legislative requirements and industry standards.

Melbourne, Australia

My responsibilities included conducting detailed remediation assessments, evaluating financial advice, and making sure outcomes were both fair and aligned with the client's established methodology. I was also responsible for assessing more complex cases, leveraging my expertise to identify areas of concern and recommend appropriate remediation steps.

Melbourne, Australia

Focused on compliance with regulatory guidelines and enforceable undertakings set by the Australian Securities and Investments Commission (ASIC). My key responsibilities included conducting comprehensive remediation assessments, evaluating financial advice, and ensuring that outcomes were fair and aligned with the client's methodology.

Bachelor Of Business, Economics & Finance

Diploma Of Financial Planning (Rg146)