Nifshan Naseem Email & Phone Number

London Area, United Kingdom

My role as a QAM comprises of the following:- Undertake case reviews as dictated by CMP to assess risks and training needs to help Planners to meet required Vintage and regulatory standards.- Assist the Head of Risk and Compliance with the collation of risk-based data and MI through the monitoring of Financial Planner’s.- Examines current operating procedures to determine how quality can be improved.- Assist with the development of processes based on company policies and principles.- Examine operating procedures to ensure the process and the product meet regulatory standards and implement changes necessary to ensure compliance.- Develop and implement visual, physical, functional or other appropriate measures and tests of quality.- Building and maintaining business relationships with all relevant stakeholders and contributing to any Compliance projects and initiatives.- Work with Training and Competence Manager and keep Head of Risk and Compliance updated on progress of any ongoing risk issues.- Analyse results of quality control tests to ensure they remain within specification.- Assist with focused projects on an ad hoc basis to ensure that project management frameworks are readily available to committees and project groups.

London, England, United Kingdom

My role as a Compliance Associate comprises of the following:- Conducting risk identification, measurement and assessment.- Monitoring for compliance with laws, rules, regulations and policies.- Participating in firm responses to regulatory examinations, audits and inquiries.- Performing surveillance and investigations of business activities.- Testing the effectiveness of controls.- Reviewing policies and procedures.- Implementation of consumer duty.- Interpreting and applying various regulatory requirements to specific business scenarios.- Communicating regulatory requirements and firm policy expectations to educate others.

My role as a Manager comprises of the following:- Maintain constant communication with management and staff to ensure proper operations of the organization. - Develop, implement, and maintain quality assurance protocols. - Grow the efficiency of existing organizational processes and procedures to enhance and sustain the organization’s internal capacity. - Actively pursue strategic and operational objectives. - Ensure operational activities remain on time. - Track staffing requirements, hiring new employees as needed. - Help promote a company culture that encourages top performance and maintain high morale. - Lead, motivate, and support a large team within a time-sensitive and demanding environment, including setup and implementation of career development plans for all direct reports and problem resolution. - Manage timely data collection to update operations metrics to achieve productivity targets, reduce cost per unit, eliminate errors, and deliver excellent customer service.

Sri Lanka

My role as an Assistant Manager comprises of the following:- Managing the paraplanning department and accomplish objectives by managing staff; planning and evaluating department activities.- Maintaining staff by recruiting, selecting, orienting, and training employees.- Ensuring a safe, secure, and legal work environment.- Helping employees develop personal growth opportunities.- Working towards accomplishing staff results by communicating job expectations; planning, monitoring, and appraising job results.- One of my key role is coaching and counseling employees as and when needed.- Responsible for developing, coordinating, and enforcing systems, policies, procedures, and productivity standards.- Establishing strategic goals by gathering pertinent business, financial, service, and operations information.- Defining objectives by identifying and evaluating trends and options, choosing a course of action, and evaluating outcomes.- Maintaining quality service by enforcing quality and customer service standards, analyzing and resolving quality and customer service problems, and recommending system improvements.- Monitoring the department and personal adherence to the compliance framework, ensuring all paraplanning processes, procedures are document and maintained.- Ensuring the business is appropriately resourced and supported to deliver efficient and compliant Advice Documentation in a timely manner. - Exposure to the overall strategic management of the business in terms of drafting procedure manuals, training new staff members and monitoring target revenue figures.

Sri Lanka

In the role of a Senior Paraplanner, I assist Financial Advisors to deliver detailed advice surrounding personal insurance, retail superannuation and cashflow to a diverse network of clients.I have developed a sound understanding of the entire advice process including; sourcing prospective clients via marketing campaigns, making first contact to arrange an initial meeting, building rapport and discussing goals, strategic planning and research, producing a Statement of Advice, completing relevant implementation steps and maintaining ongoing relationships through conducting reviews. My experiences with software's and other areas include:XplanMidWinterAMP DraftOnlineAdviserLogicSalesforce WorksortedSuperannuationPensionRiskInvestmentCashflowProjections including CALM

Sri Lanka

Insurance needs analysis Product researchTechnical research Centrelink calculationsFinancial modeling and projectionsConstruction of statement and record of advice

Sri Lanka

Saudi Arabia

Msc, Business Analytics, First Class

Master Of Business Administration - Mba, General, First Class

Credentials evaluated by WES, Canada

Bachelor Of Science (Hons) Business And Management, Second Upper

Credentials evaluated by WES, Canada

Diploma Of Financial Planning, Financial Planning And Services