David Rey

David Rey Email and Phone Number

Senior Risk and Assurance Professional @ Capstone Financial Planning
melbourne, victoria, australia
David Rey's Location
Australia, Australia
David Rey's Contact Details

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About David Rey

Drawing on 20 years of financial services experience gained in financial services working as a wealth adviser, a practice manager, and more recently as a financial planning risk & compliance professional. I am confident of the value I bring to the field within risk & compliance, operations management, and financial advice. My next assignment will see me applying this skillset in financial services setting where strong governance and a sustainable operating model are regarded as imperative for business survival and for future growth.Career Highlights: Case Manager and Quality Assurance Manager across two major bank remediation projects Executed and implemented business wide advice standards review for a major industry superannuation fund Managed AFSL documentation release as part of a successor fund transfer  Managed the day to day operational risk program for a bank owned AFSL, adviser onboarding, including complaint handling, pre and post advice audit, audit system and policy development Successfully managed member growth and retention for national industry superannuation fund Advice leader in two boutique financial advice practices  Successfully tested and released a client engagement tool for a leading financial services training institute Client engagement and advice compliance subject matter expert within wealth management, superannuation and insurance Certified Financial Planner designation and 12 years of experience in retail financial advice

David Rey's Current Company Details
Capstone Financial Planning

Capstone Financial Planning

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Senior Risk and Assurance Professional
melbourne, victoria, australia
Website:
capstonefp.com.au
Employees:
35
David Rey Work Experience Details
  • Capstone Financial Planning
    Senior Risk And Compliance Officer
    Capstone Financial Planning Jul 2023 - Present
    Melbourne, Victoria, Australia
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  • Capstone Financial Planning
    Professional Standards Officer
    Capstone Financial Planning Mar 2021 - Jul 2023
    Melbourne, Victoria, Australia
    Capstone Financial Planning is a top 10 wealth management licensee based in Melbourne. In this role I have been responsible for the ongoing compliance monitoring and supervision of a panel of Financial Planners and their support staff. I have also been assisting the Head of Professional Standards with reporting to the ExCo as well as a wide range of operational risk and compliance initiatives. These have included team lead for the rollout of major compliance projects and controls design, the management of compliance systems and policy development. I have also performed adviser audits, managed adviser investigations, client remediation projects, complaint management and provided strategic advice to the Head of Professional Standards.
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  • Big 4 Consulting Services
    Quality Assurance Manager
    Big 4 Consulting Services Oct 2019 - Mar 2021
    Melbourne, Victoria, Australia
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  • Stateplus
    Advice Standards Manager
    Stateplus Mar 2019 - Oct 2019
    Sydney, Australia
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  • Stateplus
    Financial Planning Compliance Officer
    Stateplus Sep 2017 - Mar 2019
    Sydney, Australia
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  • Anz
    Case Manager
    Anz Dec 2016 - Sep 2017
    Sydney, Australia
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  • Total Financial Solutions
    Compliance Development Manager
    Total Financial Solutions Jun 2015 - Nov 2016
    Sydney, Australia
    In this role I was responsible for all operational aspects of the compliance as part of a small compliance standards team. In this role I reported to the Head of Compliance and gained a broad exposure to 2nd line compliance monitoring and supervision of a network of advisers across Australia. Duties included pre-vetting advice, audit, complaints handling, adviser help desk and legislative monitoring and reporting. The KPI's were measured in the following job areas:• Wealth management and advice standards• Advice review and remediation• Stakeholder management• Written and verbal communication • Policy development and adviser training• Advice process analysis and client engagement• Ability to work to team objectives and autonomously
  • Strategi Group
    Client Services Manager
    Strategi Group May 2014 - Oct 2014
    Auckland, New Zealand
    My position was focused on developing best practice solutions for New Zealand Financial Advisers to help their business improve efficiency and drive their bottom line. I deliver this through a focus on advice training & tool sets, CPD and compliance solutions.
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  • Health Super Financial Planning
    Financial Planner
    Health Super Financial Planning Jul 2012 - Mar 2013
    Melbourne, Australia
    In this role I provided retirement planning advice, with a focus on superannuation for workers in the health sector, including Doctors, Administrators and other health and community service professionals.
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  • Comprehensive Financial Solutions
    Senior Financial Planner
    Comprehensive Financial Solutions Jun 2011 - Jun 2012
    Suite 1030, Level 10, 1 Queens Road, Melbourne Vic 3004
    Key Responsibilities:• Practice management, team building• Business strategy• Fee for service transitioning• Advice marketing and client engagement• Fee for service transitioning• Wealth advice: MDA/SMA, personal risk and SMSF
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  • Cscg
    Executive Director, Cs Financial Planning
    Cscg Jul 2008 - Jun 2011
    Werribee
    Responsibilities:• Provision of financial advice to accounting clients• Marketing, business development & sales• Day-to-day operations• Supervision of Associate and Admin staff• Board level activity reporting• Maintenance of compliance standardsAchievements:• Reviewed and re-focused client value proposition• Completed preliminary due diligence on targeted acquisitions• Developed junior staff capacity and increased productivity• Delivered education to Accountants and client education events• Managed practice to revenue and profit objective• Introduced IMA & SMA to the business• Maintained dealer relationship and compliance standards to high level• Introduced data management and workflow processes• Managed sales, client communications and advice delivery
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  • Media Super
    Superannuation Services Manager
    Media Super Oct 2004 - Jun 2008
    Retained and expanded existing members and employer super fund sponsors. Developed and delivered educational seminars and provided general superannuation advice and services to targeted member segments. I was responsible for strategic market development and represented the fund at industry events.
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  • Lava Financial
    Partner Financial Planner
    Lava Financial Jun 2003 - Jul 2004
    Balwyn, Melbourne
    Business partner and holistic financial adviser with exposure to small business clients. Provided advice on structured products, super, life insurance and managed funds. Developed financial planning as a start-up within an accountancy practice. A key achievement was generating $100k in revenue within the first 12 months.
  • Anz Bank
    Associate Financial Adviser
    Anz Bank Oct 1999 - Dec 2000
    Pitt Street, Sydney
    Branch Financial Adviser responsible for limited advice to branch customers. Responsible for outbound contact and financial planning in the Pitt Street and George Street branches. Also worked alongside Lending Managers as part of Premier Financial Services in Martin Place.
  • Cashcard Austalia
    Manager Customer Support
    Cashcard Austalia Aug 1998 - Sep 1999
    Manage customer relations for the delivery of IT solutions in the banking sector.

David Rey Skills

Wealth Management Financial Advisory Financial Services Investments Retirement Planning Banking Financial Planning Portfolio Management Strategic Financial Planning Pensions Wealth Superannuation Strategy Management Financial Risk Mutual Funds New Business Development Business Development Pension Funds Risk Management Team Leadership

David Rey Education Details

Frequently Asked Questions about David Rey

What company does David Rey work for?

David Rey works for Capstone Financial Planning

What is David Rey's role at the current company?

David Rey's current role is Senior Risk and Assurance Professional.

What is David Rey's email address?

David Rey's email address is da****@****ail.com

What is David Rey's direct phone number?

David Rey's direct phone number is +614010*****

What schools did David Rey attend?

David Rey attended Deakin University, Deakin University, St Kevin's College.

What are some of David Rey's interests?

David Rey has interest in Family, Children, Classic Films, Spiritual Development, Literature, Nature, Bicycling.

What skills is David Rey known for?

David Rey has skills like Wealth Management, Financial Advisory, Financial Services, Investments, Retirement Planning, Banking, Financial Planning, Portfolio Management, Strategic Financial Planning, Pensions, Wealth, Superannuation.

Who are David Rey's colleagues?

David Rey's colleagues are Cecilia Nouvelle E., David Gibbs, Eric Xu, Ian Rogers, Sophia Wellam, Caleb Jones, Tim Mccallum.

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