Angela Michelle HARTMAN

• Investigating and proposing new business practices/investments to replace obsolete, cost-inefficient methods currently employed.
• Troubleshooting incidents reported by end-users to schedule system changes and identify permanent solutions with expert user group.
• Creating and maintaining excel models and schedules as required for costings, cost/benefit analysis and Capex tracking for stock management.
• Conducting analytical research, and presenting results.
• Performing auditing and compliance reviews.
• Managing business research and market analysis.
• Implemented new ERP process requirements based on accounting requirements and user needs, assisting with system builds, testing and deliverables

• Moved from Perth, WA to Brisbane, QLD to get married.
• Completed Post-Graduate (Grad. Dip Applied Finance).

• Created and developed MS Excel models/schedules as required for offer bidding, capital raisings, securities allocations and new issue settlements (DVP/cash).
• Management of simultaneous capital raisings through proposal stage, underwriting, offer letters through to settlement and allocation.
• Strong use and knowledge with Complii and other financial software.
• Completion of due diligence, customer management, s708 compliance, and management of new offers/settlements.
• Collaborating with directors, stakeholders, share registries and ASX
• Creation of mandates, offer letters, underwriting agreements, term-sheets and research reports.
• Maintained knowledge and compliance under Corps Act, ASIC MIR and AML/CTF guidelines.
• Conducting analytical research, and presenting results.
• Assisting compliance department with audits, compliance checks and investigations as required.

Contract position while awaiting visa move permanently to Australia

• Managed multiple new issues, including recapitalizations to permit merger of Petrosands Canada and Canrock Energy, and subsequent RTO of Canrock Energy by Alston Energy.
• Management and support of company secretary duties, including to submissions and compliance with TSX and provincial stock exchanges.
• Organization of board meetings, circulating agendas, drafting minutes and discussion papers.
• Maintenance of financial records, fees, and required submissions in to stock exchanges in compliance with listing rules.
• Providing investor management and advisory services to shareholders.

• Increased clients investments under management from $0 to $6 million within 6 months leading to Executive Council status.
• Completion of 6-week profession trading/marketing training program in Toronto with marketing, advisory, and management focus.
• Investment advisory, client portfolio risk/needs analysis, portfolio and investment evaluation, and securities trading on domestic/foreign markets, royalty/dividend reinvestment management and client account development.
• Trading in US and Canadian equities, fixed-income products and money market securities.

• Management of $40m in total client assets.
• Trading - TSX, NYSE, NASDAQ and OTC: BB equities, money market, fixed-income securities, convertible debentures, REITs, trusts, equities, and flow-through (tax advantaged) securities.
• Client advice, risk management and compliance for HNW and accredited (sophisticated) investors.
• Research and analysis of companies and financial planning advice to meet investment objectives and maintaining appropriate exposure to asset classes as set out in risk tolerance and investment and risk objectives (KYC).
• Met and collaborated with existing and prospective clients to ascertain financial goals and provide recommendations on investment solutions
• Contacted potential clients to pursue sales and gather funds
• Researched companies and prepared presentations for management and prospective buyers