Merlin Viet Email & Phone Number

Sydney, New South Wales, Australia

Sydney, New South Wales, Australia

• Addressed external fund manager requests, which involved gathering and assessing information from different areas of the business such as Audit, Adviser Conduct, Financial Crime Compliance and Modern Slavery areas.• Prepared compliance reporting and reconciliation relating to the Tax Agents Services Act and addressed any related queries with key stakeholders. Designed the operating procedure for this control. • Provided Secretariat and Governance support to various committees such as… Show more • Addressed external fund manager requests, which involved gathering and assessing information from different areas of the business such as Audit, Adviser Conduct, Financial Crime Compliance and Modern Slavery areas.• Prepared compliance reporting and reconciliation relating to the Tax Agents Services Act and addressed any related queries with key stakeholders. Designed the operating procedure for this control. • Provided Secretariat and Governance support to various committees such as Advice Risk and Compliance, Advice Financial Risk and Capital, Investment and Advice and Buy Back Oversight. Show less

• Gathered intelligence across our financial advice businesses and through data analytics to examine a range of key risk indicators to identify potential issues. • Acted as a preventative and detective control across advisers, client accounts and transactions. Allowed historical issues to be remediated and potential future risks to be mitigated. • Carried out validation activities including the review and investigation of advice and investment activities.• Assessed advice provided… Show more • Gathered intelligence across our financial advice businesses and through data analytics to examine a range of key risk indicators to identify potential issues. • Acted as a preventative and detective control across advisers, client accounts and transactions. Allowed historical issues to be remediated and potential future risks to be mitigated. • Carried out validation activities including the review and investigation of advice and investment activities.• Assessed advice provided to clients by financial planners against financial planning regulation, industry standards, company policies and best interest duties. • Worked closely and provided valuable insights to internal stakeholders in relation to potential advice issues, compliance risks or emerging trends in advice activities. • Liaised with Financial Adviser's managers to resolve any issues. • Tested metrics and assisted in the development of new metrics to further enhance the accuracy and reliability of the team’s investigations. • Worked closely with Data Analysts to enable further improvements to the process. Show less

Sydney, Australia

• Performed audits to ensure compliant Statement of Advices are produced. Acted as a preventative and detective compliance control.• Coached planners to apply appropriate and compliant strategies and procedures. This involves liaising with new and senior planners over the phone and having robust discussions with them when required.• Reviewed strategies involving Insurance, Superannuation, Investments, SMSFs, Gearing and Structured products such as Capital Protection, Protection Equity… Show more • Performed audits to ensure compliant Statement of Advices are produced. Acted as a preventative and detective compliance control.• Coached planners to apply appropriate and compliant strategies and procedures. This involves liaising with new and senior planners over the phone and having robust discussions with them when required.• Reviewed strategies involving Insurance, Superannuation, Investments, SMSFs, Gearing and Structured products such as Capital Protection, Protection Equity Loans, Self-Funding Installments and Capital Notes.• Identified any risky planner behaviour and trends and raised this to the business.• Strong communication skills are required to coach and deal with advisers.• Trained other team members and ran training sessions for the team. Show less

Sydney, Australia

• Investigated and identified of potential high risk planners.• Investigated planners for insurance “churn” and lapse issues. This allowed high risk incidents to be identified and investigated.• Reported and documented investigation results to stakeholders such as senior managers of the business and ASIC.

Sydney, Australia

• Performed end to end planner audits to ensure for compliant processes and appropriate advice. Performed a preventative and detective compliance control function.• Developed the audit procedure guide for the Wealth Connect (phone based advisers) area. • Provided recommendations to remediate any issues to ensure the planner is providing the customer the appropriate advice.• Coached planners to develop efficient processes and assisted planners with compliance and advice queries.•… Show more • Performed end to end planner audits to ensure for compliant processes and appropriate advice. Performed a preventative and detective compliance control function.• Developed the audit procedure guide for the Wealth Connect (phone based advisers) area. • Provided recommendations to remediate any issues to ensure the planner is providing the customer the appropriate advice.• Coached planners to develop efficient processes and assisted planners with compliance and advice queries.• Responsible for the Wealth Connect compliance program which involved audits of general and personal advice, monitoring of calls and providing suggestions for improvement to stakeholders.• Monthly assessment and reporting of Wealth Connect audit results, trends and areas for improvement. Show less

Sydney, Australia

Adviser Compliance Program• Investigation of high risk planners to determine whether there has been customer detriment due to poor advice in the past.• Reporting and documenting of the investigation findings to key stakeholders.

Sydney, Australia

Onepath/ANZ WealthEffectively maintained relationships and communicated with financial advisers and clients in regards to compliance, technical issues/queries, product rules and business rules.

Bachelor Of Commerce - Bcom

Majors in Economics and Finance

Statement Of Attainments

- Self Managed Super Funds (SMSF) - Margin Lending

Advanced Diploma Of Financial Planning

Diploma Of Financial Planning

Education record

Selective High School