David Rey Email & Phone Number

Melbourne, Victoria, Australia

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.

Melbourne, Victoria, Australia

Sydney, Australia

Sydney, Australia

Sydney, Australia

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

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.

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.

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

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

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.

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.

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.

Manage customer relations for the delivery of IT solutions in the banking sector.

Master Of Commercial Law, Competition Law And International Trade

Bachelor Of Commerce, Marketing And Indonesian Language

Activities and Societies: Inaugural President of Deakin University Network Exchange and Club Indonesia (‘93 - ‘94)

Education record