Chris Scott

• Simplified policies to remove complex language by rewriting them in plain English.
• Quickly learned and applied new skills to daily tasks, improving efficiency and productivity.
• Carried out day-to-day duties accurately and efficiently with team members and stakeholders.
• Resolved problems, improved operations, and provided exceptional service.
• Used coordination and planning skills to achieve results according to schedule.
• Exceeded goals through effective task prioritisation and great work ethic.
• Demonstrated respect, friendliness, and willingness to help wherever needed.

• Responsible for Adviser Issues management i.e. adviser-related issues where activities are in breach of policy or legal obligations.
• Treatment and consequence management of those advisers involved running committees, extensive stakeholder management, and strong communication.
• Provided support to stakeholders to ensure that risks and issues were owned, managed, and closed within risk and governance frameworks.
• Proved successful working within tight deadlines and a fast-paced atmosphere.
• Used critical thinking to break down problems, evaluate solutions and make decisions.
• Improved operations through consistent hard work and dedication to clear a 900-issue backlog.

My role as National Complex Audit Manager involved building, improving, and leading Complex Audits. The audits included deep-dive investigations, due diligence activity, Licensee audits and assessments of client registers being sold back to AMP.

• Heavily relied upon by the Head of Audit to support other audit functions, data analysis, and input to decision-making.
• Participated in continuous improvement by generating suggestions, and engaging in problem-solving activities to support teamwork.
• Maximized performance by monitoring daily activities and mentoring team members.
• Adjusted job assignments and schedules to keep pace with dynamic business needs, factoring in processes, employee knowledge, and customer demands.

• Cross-trained existing employees to maximise team agility and performance.
• Introduced systemised reporting to monitor performance and mentor team members.
• Evaluated report data to proactively adjust and enhance operations.
• Evaluated employees' strengths and assigned tasks based on experience and training.
• Developed and maintained relationships with stakeholders to facilitate adviser development.
• Raised performance in management and operations by identifying and targeting areas needing improvement.
• Executed regular process updates to reduce discrepancies and inconsistencies across the audit functions.

Responsible for managing staff across Australia, whose key responsibilities were auditing and coaching Financial Planners.

The role mandate included the ongoing development of the audit program and process to ensure it maintained pace with regulatory and business change. It also involved ensuring the compliance and advice activity of 300 salaried Financial Planners was rigorously monitored, with all detected incidents recorded, tracked and remediated.

I also worked in a 2nd line risk function responsible for key control design and operational effectiveness testing. This involved risk assessment of 1st line risk management activities

Over 15 years my roles included

• Financial Adviser
• Adviser and client support
• Complaint management
• Advice Auditor
• Audit manager
• Policy Manager