Sam Morris Email & Phone Number

Melbourne, Vic, Au

Melbourne, Victoria, Australia

FACA Solutions provides compliance and audit solutions to advisers and AFS Licensees. Services provided include risk management, governance support, file reviews, AFS Licensee reviews, advice coaching, training workshops, policy development, complaints management and remediation support.

Melbourne, Australia

As a consultant at Mills Oakley, I led the compliance offering to financial advice firms. I provided compliance services to clients of varying sizes and complexity. Services included:# Auditing personal and general financial advice provided by industry superannuation funds and financial advisers.# Auditing processes and procedures of AFS Licensees to ensure they meet ASIC expectations.# Preparing technical advice on superannuation and other financial advice related legislative… Show more As a consultant at Mills Oakley, I led the compliance offering to financial advice firms. I provided compliance services to clients of varying sizes and complexity. Services included:# Auditing personal and general financial advice provided by industry superannuation funds and financial advisers.# Auditing processes and procedures of AFS Licensees to ensure they meet ASIC expectations.# Preparing technical advice on superannuation and other financial advice related legislative issues for legal sign-off by the Partner.# Preparing the compliance framework for AFSLs and ACLs including drafting compliance policies, procedures, and registers, and keeping them updated.# Being part of, and chairing compliance committee meetings for various AFSLs.# Preparing applications to apply and vary AFSLs and ACLs.# Contributing content to ARGOS - a platform that makes it easy to track and understand financial services regulatory change and provides a breach reporting consulting tool.# Being seconded to Fourth Line - a risk management and compliance system that empowers and enables advice practices, licensees and other wealth management participants to demonstrate that they are taking responsible steps to act in the client’s best interest. Show less

Melbourne Area, Australia

# Managed the compliance calendar and chaired the quarterly compliance meetings for the group which included its 2 AFSLs and the accounting business. # Maintained the training, complaints and breach reporting registers for the two AFSLs. # Ran compliance induction sessions for new advisers joining the firm. # Conducted audits for each authorised representative including day-to-day policy observance.# Proactively identified and applied any changes brought about by legislation and… Show more # Managed the compliance calendar and chaired the quarterly compliance meetings for the group which included its 2 AFSLs and the accounting business. # Maintained the training, complaints and breach reporting registers for the two AFSLs. # Ran compliance induction sessions for new advisers joining the firm. # Conducted audits for each authorised representative including day-to-day policy observance.# Proactively identified and applied any changes brought about by legislation and regulations. # Drove a culture of knowledge sharing, running regular training sessions for advisers and directors on technical and compliance matters# Contact point for advisers and accountants on technical and strategic queries.# Built and maintained the master template for the SoAs produced in the organization. Ensured all other policies and documents were up to date and relevant.# Led specific project teams during regulatory and product changes.# Managed the internal compliance team and the outsourced paraplanning team. Show less

Melbourne, Australia

# Developed quality financial plans for advisers utilising knowledge of investment strategies, insurance and superannuation. # Used my technical knowledge and skills to train and mentor other paraplanners in the team.

# Analysed the financial situation of clients and provided strategies to help them achieve their financial goals utilising knowledge of investments, insurance, superannuation and gearing.# Developed and implemented financial plans for retail clients ensuring that the document was compliant but still easy to understand.# Communicated complex information with regards to legislative changes to clients making them aware of how it affected their financial situation. # Fostered and… Show more # Analysed the financial situation of clients and provided strategies to help them achieve their financial goals utilising knowledge of investments, insurance, superannuation and gearing.# Developed and implemented financial plans for retail clients ensuring that the document was compliant but still easy to understand.# Communicated complex information with regards to legislative changes to clients making them aware of how it affected their financial situation. # Fostered and maintained strong client relationships to ensure client retention and revenue growth.# Educated staff and clients on how to take control of their finances.# Worked with different brands in the group (Westpac, St. George and Bank of Melbourne). Show less

# Developed and implemented financial plans for individuals, utilising knowledge of insurance and superannuation strategies.# Analysed the data submitted by the consultants for qualitative and quantitative accuracy along with the correct advice based on the client's situation.# Helped consultants with difficult business scenarios, queries and advice strategies.# Coached paraplanners to ensure business rules were adhered to.# Guided new employees through various management… Show more # Developed and implemented financial plans for individuals, utilising knowledge of insurance and superannuation strategies.# Analysed the data submitted by the consultants for qualitative and quantitative accuracy along with the correct advice based on the client's situation.# Helped consultants with difficult business scenarios, queries and advice strategies.# Coached paraplanners to ensure business rules were adhered to.# Guided new employees through various management reports and software used.# Understanding the MIS requirements and developing those reports.# Compiled key work performance indices for the consultants to assist in work distribution.# Compared quality of referrals from financial planners and the percentage of conversion. Show less

Bengaluru Area, India

Bengaluru Area, India

Pune Area, India

Cert Iv In Training And Assessment, Workforce Development And Training

Diploma, Financial Planning

Masters, Mass Communication

Bachelors In Journalism Honours, Journalism

Activities and Societies: Students' Union Vice President -1998-99 & Students' Union Cultural Secretary -1997-98 Actively promoted.

Graduate Certificate In Compliance & Risk Management