Amy Ellis

Senior Client Service Officer

• Providing direct assistance to adviser to identify strategic recommendations for new and existing clients
• Preparing SOA requests for external plan writers, including fielding queries and reviewing documents.
• Preparing and writing comprehensive file notes and ROAs post reviews
• Financial Modeling using Xplan, as well as tailored excel projections and graphs, when required.
• Lodgement of advice, including but not limited too, new applications for products, switches and rebalance, insurance applications, share trading and recontribution strategies
• Managing all Annual Advice Agreements, coordinating review scheduling to ensure all agreements are met and fulfilled in the required timeframes. Preparing extensive financial reporting to management team.
• Client service officer for 80+ clients. Assisting with adhoc queries, transactions and overall relationship knowing they have someone to speak to other than the adviser.
• Updating records and applying for new payments on behalf of clients with Centrelink.
• General Administration Duties, including filing, scanning, answering phones.
• Preparing client files for regular audits by the licensee. Liaising with auditor on behalf of the adviser and implementing any changes to processes and documents following audit.

Process Manager

• Reviewing processes to ensure they remain efficient and compliant.
• Led a team to build and implement a tailored built CRM across the business. Including management of data entry, building workflow threads and task structures as well as deal directly with outsourced website contractors.
• Designed and implemented a comprehensive review process across the business. Making sure the process was compliant but also time efficient.
• Creating and maintain compliance documents and resources for the entire business, including FSCG, Fact Find templates and working papers.

• Direct contact for customer enquires from website
• Collating all order information and documentation
• Liaising with and monitoring packing team
• Accounts payable
• Assistance with inventory
• Producing marketing material including social media advertising.

• Worked for them on and off during 2015 and 2016, on an on-call basis, helping out during busy periods and holiday leave.
• General Administration Duties, including filing, scanning, answering phones
• Completing precedents for Wills and Powers of Attorneys
• Assisting legal secretaries with Conveyancing documents and procedures.

• General Administration Duties, including filing, scanning, answering phones.

• General Administration Duties, including filing, scanning, answering phones, mail & banking
• Assisting with reception cover when required
• Assisting Financial Adviser in all client meetings, including complying file notes
• Paraplanning including preparing financial strategies and Statements of Advice for clients
• Attending to client queries
• Assist in the effective running of the day to day operations of the financial planning department which includes administration, sales and marketing support, compliance and prudential standards
• Use of financial planning software XPLAN to complete client strategies and client database management.

• General Administration Duties, including filing, scanning, answering phones
• Managing all ongoing and upfront billing including financial reporting to management team
• Assistance with reception/switch board cover when required
• Paraplanning including preparing financial strategies and Statements of Advice for clients
• Attending to client queries
• Key contact for internal staff, including dealing with daily queries from accountants and senior management
• Assist in the effective running of the day to day operations of the financial planning department which includes administration, sales and marketing support, compliance and prudential standards
• Coordinating and training trainee staff
• Completing comprehensive investment paperwork and trading directly on the ASX.