ANZHELIKA MOISEEVA
Sydney,Australia
Summary
Organized and dependable Compliance Office successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals, improve policies and procedures in all business areas.
Overview
17
17
years of professional experience
Work History
Compliance Officer
Compare Club
12.2022 - Current
- Implementing an effective legal compliance
- Conducting audits of authorised representatives, including assessing their compliance level, identifying incidents, providing feedback, training, and remedial instructions
- Identifying areas of improvement in the way compliance incidents are discovered, classified, and remedied; overlooking that incidents and remedial actions record keeping is sufficient
- Pre-vetting/post-vetting SOAs and providing feedback to Financial Planners
- Preparing Monthly Compliance report for Compliance Committee meetings, that includes:
- Reporting on the number of incidents, their classification, the outcome of rectifications, and the overall compliance status for the month for the life insurance vertical
- Reporting on the results of audits and each audited broker's rating
- Reporting on complaints and their resolution for the life insurance vertical, including any potential liability, whether IDR obligations were met, and whether the complainant went to AFCA etc
- Reporting on Industry Updates, how it relates to the business, and what changes in processes will be required to comply with legislative obligations etc.
- Preparing minutes of the Compliance Committee meeting
- Writing various reports
- Review marketing materials for regulatory compliance
- Training and educating staff on compliance policies and process that must be followed
- Overseeing CPD points completion
- Investigating complaints
- Responsible for making sure business complies with its AML/CTF obligations
- Other compliance officer activities.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Responded to employees inquiries regarding compliance regulations and procedures.
- Developed and maintained compliance database, tracking all compliance activities and documents..
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Investigated and documented all violations of compliance regulations to determine necessary improvements.
- Developed and implemented corrective action plans for non-compliance issues.
- Created and maintained compliant work environment.
Authorised Representative
CompareClub
05.2022 - 12.2022
Business Development Manager
Windsor Wealth Management
04.2021 - 01.2022
- Responsible for increasing sales for UK pension transfers
- Contacted and met with immigration advisers to increase referrals for pension transfers
- Worked with Facebook Groups for Windsor Wealth to become a sponsor, and then to provide content into Facebook groups
- Developed a LinkedIn strategy to focus on marketing to people with British work experience who had moved to New Zealand
- Developed a Youtube channel to provide credibility and to enhance search capability
- Worked with mortgage and insurance advisers to enhance revenue for pension clients, where Windsor Wealth could refer pension clients into them for a share of commission.
Financial Adviser
Apex Group Advice, Financial Services
01.2017 - 08.2018
- Meet with clients to complete fact find and see them through to SOA presentation and maintain ongoing relationship with clients to provide the following:
- Helping clients to identify their financial needs
- Reviewing clients' insurance and making sure it is appropriate for their circumstances
- Plan short and long-term financial goals, understanding client's needs, providing robust and timely insurance advice
- Implementation of recommendations
- Dealing with underwriters
- Helping clients with insurance application process
- Providing on-going client service to reassure that their needs are met
- Introducing new clients to the business
- Writing Statements of Advice and Records of Advice
- Meet sales KPI
- Awards: 13th top financial adviser country wide for amount of business enforce in a month for AIA, 16th top financial adviser for amount of business enforce for AIA.
Executive Assistant/Trainee Accountant
Bentleys Chartered Accountants Ltd
01.2014 - 04.2015
- Depreciation schedules
- General Ledgers
- Trial balances
- Financial Statement
Executive Assistant
R&B / KJJY Ship Rebuilding and Repairing Co Ltd
11.2013 - 07.2014
Sales Representative
The Brand Developers Ltd
03.2012 - 03.2013
Real Estate Sales Agent
Harvey' s, Moving on Real Estate Limited
02.2010 - 01.2012
Receptionist
Crown Plaza Hotel
01.2007 - 01.2010
Education
RG 146 Certificate (Insurance and Superannuation) – CPD points up to date -
Kaplan
Australia2022
The New Zealand Certificate in Financial Services (insurance -
Unitec
Auckland, New Zealand2016
Bachelor of Commerce - Finance and Commercial Law
University of Auckland
Auckland, AUK09.2016
Diploma - Tourism management
New Zealand School of Travel & Tourism
Auckland, AUK2008
Skills
- Auditing Processes
- Risk Management
- Internal Controls
- Compliance Reviews
Timeline
Compliance Officer
Compare Club
12.2022 - Current
Authorised Representative
CompareClub
05.2022 - 12.2022
Business Development Manager
Windsor Wealth Management
04.2021 - 01.2022
Financial Adviser
Apex Group Advice, Financial Services
01.2017 - 08.2018
Executive Assistant/Trainee Accountant
Bentleys Chartered Accountants Ltd
01.2014 - 04.2015
Executive Assistant
R&B / KJJY Ship Rebuilding and Repairing Co Ltd
11.2013 - 07.2014
Sales Representative
The Brand Developers Ltd
03.2012 - 03.2013
Real Estate Sales Agent
Harvey' s, Moving on Real Estate Limited
02.2010 - 01.2012
Receptionist
Crown Plaza Hotel
01.2007 - 01.2010
RG 146 Certificate (Insurance and Superannuation) – CPD points up to date -
Kaplan
The New Zealand Certificate in Financial Services (insurance -
Unitec
Bachelor of Commerce - Finance and Commercial Law
University of Auckland
Diploma - Tourism management
New Zealand School of Travel & Tourism
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