Liam Shaw Email & Phone Number

Perth, Wa, Au

Perth, Western Australia, Australia

Responsible for supporting Morgan Stanley Financial Advisers, Planners and support staff within the Perth and Adelaide offices in driving revenue growth and initiatives.Overseeing organic growth at a state level, ensuring regulatory adherence, selective adviser acquisition and championing staff career progression whilst fostering a collegial and inclusive culture.

Perth, Australia

Responsible for supporting Morgan Stanley Financial Advisers, Planners and support staff within the Perth office in driving revenue growth and initiatives. Overseeing organic growth at a branch level, ensuring regulatory adherence, selective adviser acquisition and championing staff career progression whilst fostering a collegial culture.

Perth, Western Australia

Responsible for overseeing the risk and supervisory obligations of all staff within the Perth and Adelaide Branches in ensuring adherence to ASX Market Rules, Securities & Australian Clearing House Rules, Corporations Act, AML-CTF and ASIC Policies. Reporting through to the Head of Risk and State Managers this role sees direct oversight of Financial Advisers & Planners including support staff.

Charged with bringing risk management and compliance in-house due to sustained company growth. Responsible for overseeing all business entities in ensuring adequate processes and controls are in place to comply with the Group's obligations under its Australian Financial Services Licence, two Australian Credit Licenses and other regulatory regimes.

Heavily involved as a key risk and regulatory stakeholder in post acquisition integration activities following IOOF’s acquisition of Plan B. Also responsible for managing the roll-out and embedment of IOOF’s enterprise risk management framework to Plan B. My specific tasks included –• Providing risk and regulatory advice on several high profile integration projects;• Risk mapping of high-risk exposed business units including identifying material risks and corresponding… Show more Heavily involved as a key risk and regulatory stakeholder in post acquisition integration activities following IOOF’s acquisition of Plan B. Also responsible for managing the roll-out and embedment of IOOF’s enterprise risk management framework to Plan B. My specific tasks included –• Providing risk and regulatory advice on several high profile integration projects;• Risk mapping of high-risk exposed business units including identifying material risks and corresponding controls;• Following risk map completion, embedment of monthly positive assurance sign-off programme to attest to the effectiveness of controls;• Training and education to staff on the new risk framework as well as fraud, IT risk, internal audit, anti-money laundering and regulatory change;• Advising on change management program and acting as a conduit between the two companies for integration activities;• The roll-out and effective adoption of new parent company policies and practices;• Assisting with the management of relationships with Government regulatory agencies;• Dispute and breach management; and• A member of the IOOF Business Continuity Management Steering Committee. Show less

Responsible for a Risk Management & Compliance team operating in the highly regulated wealth management industry in several jurisdictions. My responsibilities included –• Acting as a key strategic and operational risk and compliance adviser on projects as well as assisting with project scoping and assessment of project benefits;• Risk management assessments and profiling; • Determining and assessing preventative and rectification actions proposed by the business;• Monitoring… Show more Responsible for a Risk Management & Compliance team operating in the highly regulated wealth management industry in several jurisdictions. My responsibilities included –• Acting as a key strategic and operational risk and compliance adviser on projects as well as assisting with project scoping and assessment of project benefits;• Risk management assessments and profiling; • Determining and assessing preventative and rectification actions proposed by the business;• Monitoring and interpreting both regulatory and legislative changes;• Implementing systems to accommodate regulatory and legislative changes;• Company board(s), committee and management reporting on existing and emerging risks, compliance status and incident/breach/complaint statistics and trend analysis;• Managing key external relationships with several government regulators, industry bodies and external auditor.• Managing and responding to risk management, compliance and legal related queries;• Creating, maintaining and reviewing compliance frameworks and registers in consultation with various business units;• Conducting internal compliance reviews;• Incident and breach management;• Acting as the company dispute and conciliation officer; • Creating and implementing company policies; and• People management tasks (performance appraisals, mentoring and training etc). Show less

The role of Compliance Officer involved:• Conducting internal audits and reviews;• Designing surveillance frameworks;• Ensuring compliance with all of the business’s licences, relevant legislation, class orders, regulatory guides and operations;• Designing system specifications to accommodate legislative changes;• Incident and breach management;• Maintaining and updating disclosure documents and annual reports; and• Acting as compliance stakeholder on projects.