Serra Koh Email & Phone Number

Melbourne, Vic, Au

Melbourne, Vic, Au

Melbourne, Victoria, Australia

Melbourne, Victoria, Australia

Responsibilities: • Working collaboratively across all business units of the Fund as well as with key service providers such as external auditors and regulators• Overseeing the recording, management and resolution of all breach and incident reporting and providing reporting on the operations of the Compliance Framework• Promoting a strong compliance culture across the organisation through the delivery of compliance training programs and other compliance initiatives to support… Show more Responsibilities: • Working collaboratively across all business units of the Fund as well as with key service providers such as external auditors and regulators• Overseeing the recording, management and resolution of all breach and incident reporting and providing reporting on the operations of the Compliance Framework• Promoting a strong compliance culture across the organisation through the delivery of compliance training programs and other compliance initiatives to support this culture • Supporting the preparation and completion of any necessary regulatory lodgements including responding to notices and other regulatory activity• Oversight and monitoring of activities to ensure the Fund is aware of its obligations and complies with the Privacy Act, Superannuation Industry (Supervisions) Act, Corporations Act, Anti-Money Laundering and Counter-Terrorism Financing Act, Trust Deed, regulatory licences, Prudential Standards, regulatory guidance and all relevant legislation Show less

Responsibilities:• Provide advisory service to financial advisers on matters such as client review, strategy research, and product implementation.• Reviewing and monitoring accounts to ensure compliance with company and industry policies.• Developing internal policies and procedures to ensure compliance standards are met• Liaising with the Australian Securities and Investments Commission when required on issues/concerns relating to inappropriate conduct and… Show more Responsibilities:• Provide advisory service to financial advisers on matters such as client review, strategy research, and product implementation.• Reviewing and monitoring accounts to ensure compliance with company and industry policies.• Developing internal policies and procedures to ensure compliance standards are met• Liaising with the Australian Securities and Investments Commission when required on issues/concerns relating to inappropriate conduct and advice provided by financial advisers.• Review Statement of Advice submitted by financial advisers to ensure that the advice provided is appropriate and in the client’s best interest.• Construction of client portfolios, reviewing their existing holdings, and the implementation of approved plans using the appropriate financial planning software (e.g Xplan, Coin, Midwinter, Adviser Logic).• Leading and coordinating Simple Paraplanning, a paraplanning service within the company. Show less

Melbourne, Australia

Kuala Lumpur, Malaysia

Rg 146, Financial Planning And Services

Bachelor'S Degree, Mass Communication/Public Relations

Bachelor Of Laws

Completed 3 years

Diploma, Pre-Law Studies