My Licensee is an Australian based business aimed at reducing the cost of compliance for AFSLs across the financial services industry. We provide outsourced compliance solutions for self licensed financial services businesses including initial AFSL set up and ongoing compliance services.

Bombora Advice is an Australian Financial Services Licensee providing compliance support and advice frameworks for specialist Risk Advisers and Financial Planners across Australia. As part of the executive team, I reported to the Board to ensure compliance and risk management was embedded across the network.

Worked on a short term contract as a specialist compliance consultant to advise and amend financial advice templates to ensure compliance with legislation.

Netwealth is a wealth management company that provides a tailored and cost-effective wealth management service bringing together a powerful online service and a robust investment framework. I held two contract positions with netwealth including:Technical Compliance Consultant (Contract) Aug 2017 – Dec 2017Key Achievements:> Reporting to the Head of Advice Development successfully reviewed and wrote technical content for Model Office Advice Documentation including SoAs, RoAs and numerous advice templates. Compliance Specialist (Contract) May 2016 – July 2017Key Achievements:> Reporting to the Head of Risk and Compliance engaged to effectively pre-vet advice documentation, ensuring attention to detail.> Effectively engaged with individuals and group advisers to conduct audits, completing audit reports for business review.> Assisted Advisers and advised businesses in completing applications to obtain ASIC financial service licence (AFSL). > Concisely reviewed, edited, updated and wrote compliance policies and procedures in relation to the advice business.> Supported the business in remediation projects including reviewing advice documents in relation to specific concerns, providing a detailed analysis to the business on findings.

Colonial First State is one of Australia’s leading wealth management platforms providing investment, superannuation and retirement products to individuals, corporate and superannuation funds investors. During my time with Colonial First State my main role was as Advice Assurance Manager, as well as having the opportunity to take on the role of Compliance & Risk Manager.Advice Assurance Manager (VIC/TAS/SA) Jan 2010 – Nov 2012Key Achievements:> Led a team of 4 Advice Assurance Specialists as part of the Victorian Advice Assurance team including recruitment, selection and training, and providing coaching and guidance, managing performance and promptly managing workplace relations issues.> Successfully developed and maintained relationships with key stakeholders including Executive Managers, Financial Planning Managers, Practice Development Managers, Quality Coaches and Advisers.> Ensured quality advice assurance reports were provided to advisers within required timeframes.> Effectively managed a schedule of reviews across 5 different licensees in Victoria, Tasmania and South Australia with a total number of 545 Advisers.> Considered a subject matter expert, presenting at professional development days around the relevant updates in licensee standards and compliance risks.Manager Risk and Compliance, CFS Custom Solutions (Secondment) Mar 2012 – Nov 2012Key Achievements:> Successfully developed and facilitated Risk Management training across the business.> Managed key relationships across the business to ensure risk management plans and policies were understood and implemented.> Effectively managed all external disputes resolution cases with APRA, managing key relationships including Financial Services Ombudsman.> Collaborated with team members and key stakeholders to manage and maintain the company breach register.> To ensure professional development, attended ongoing risk management training.

St. Andrew’s Australia provides insurance and wealth management products and services across Australia with a comprehensive range of investment, superannuation and retirement products and services. As the Compliance Manager my role was to ensure management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behaviour in the organization meets the company's Standards of Conduct.Key Achievements:> Through effective communication and understanding of compliance regulations, effectively monitored and supervised Financial Advisers with St. Andrew’s and BankWest across Victoria.> Effectively developed and facilitated compliance induction training for all new financial advisers. > Conducted regular compliance audits, periodic visits, providing feedback within a comprehensive report for each Financial Adviser. > Maintained and provided monthly ongoing training for all authorised representatives of St. Andrews and BankWest. > Reviewed statements of advice to ensure compliance with industry and business standards.> Skillfully compiled a national compliance report on a monthly basis to be reviewed by the Risk Management Committee.> Answered compliance questions on an ad-hoc basis for all advisers, providing coaching and training where necessary.

The Australian Stock Report Ltd. provides clients with updated research and recommendations on a variety of shares, derivatives, options and foreign exchange trades within a comprehensive online report. As the Risk and Compliance Manager my role was to make sure that a company is conducting its business in full compliance with all laws and regulations that pertain to the industry.Key Achievements:> Effectively managed all compliance work within the company.> Successfully monitored the design of the compliance system and developed new policies and procedures for the approval of the Board.> Conducted and developed compliance training for all staff and management.> Developed and maintained the compliance manual and updated company procedures accordingly.> Advised the organisation on regulatory updates and trained all staff on new compliance procedures.> Acted as a conduit between the business and the Board of Directors when dealing with breaches and complaints.> Reported and completed documentation for ASIC in relation to change of business structure and breach notices.> Regularly attended external compliance workshops to maintain ongoing understanding of the Corporations Act in reference to FSRA.

The American Family Life Assurance Co. provides a range of risk insurance products tailored to employees of an organisation.Key Achievements:> Generated leads by arranging meetings with business owners and their employees.> Consistently met personal, district and regional sales expectations and provided financial reports to management on a weekly basis.> Exceeded sales targets and received regional recognition and awards for achievements.