Overview
Work History
Education
Timeline
Generic

Daniel Chen

West Pennant Hills,NSW

Overview

15
15
years of professional experience

Work History

Manager, Risk & Compliance

AMP Group
07.2022 - Current
  • Enterprise Risk Management for Line 2 Risk, overseeing AMP Investments & Wealth projects
  • Developed and maintained various risk frameworks to ensure comprehensive risk management (Risk Appetite Statement, Risk Profile and Policies)
  • Prepared quarterly reports for Board and management committees on risk status and mitigation strategies
  • Managed regulatory change pipeline for Wealth and Investments to ensure compliance with industry regulations
  • Oversee issue, incident, and breach reporting to regulators

Product Analyst

AMP Capital
07.2021 - 07.2022
  • Product ongoing governance for AMP Capital Managed Investment Schemes
  • Facilitated due diligence for AMP Capital Demerger Program including the transfer of Multi Asset Group (MAG) to AMP Investments and Global Equity Fixed Income (GEFI) funds sold to Macquarie Asset Management (MAM).
  • Review and established 23 Policies for AMP Investments as a new entity.

Assistant Product Manager

BT
11.2020 - 07.2021
  • Platforms Product Management (Super & Legislation) for platform products (BT Wrap, Panorama & Asgard).
  • Developing Process Improvements, managing Incidents/Issues and developing customer remediation initiatives.
  • Managed the migration from BT Wrap and Asgard Corporate Super products to Panorama.

Wealth Consultant

BT
08.2019 - 10.2020
  • Providing General Advice conversations to previously advised clients on BT Wrap, Panorama & Asgard with
  • Discuss different investment options through the platform regarding Managed funds, ASX listed shares, Managed Portfolio's, ETF's & Fixed interest options.
  • Developed customer journey initiatives in driving referrals, comprehensive FAQ's booklet and training program for new consultants.

Senior Investment Adviser

Maqro Capital
08.2017 - 07.2019
  • Provided General Advice including investment research to High Net Worth clients covering ASX equities, CFD's, futures and corporate finance (IPO's, private placements, early stage seed capital transactions).
  • Execution of trades via the Commsec Adviser Services & Saxo Capital Markets Platform, including trading account establishment of all account entity types.
  • Onboarding of new clients via annual research subscription services through outbound calls and meetings with portfolio reviews.
  • Provided ongoing sales training to Junior Advisers and professional development in managing a book of clients.

Business Banker

Westpac Group
01.2017 - 08.2017
  • Managed both personal and business customer inbound inquiries.
  • Increased customer needs by referring customers to other divisions in new account openings, insurance, home loans, credit cards and personal loan offers.
  • Provided expert guidance on business financing options, helping clients secure necessary capital for growth.

Paralegal

Link Lawyers
01.2015 - 12.2016
  • Conveyancing large scale off the plan projects & existing properties.
  • Assisted in the Contract of sale of Land or Business end to end process.
  • Liaising with various lenders in regard to settlement of funds & attending settlements.

Sales Consultant

Yi Dong Trading
01.2009 - 12.2017
  • Attend national wholesale trade shows exhibiting over 3000 products to retail store owners.
  • Experience in importing giftware and exporting horticulture to or from China.
  • Established online e-commerce stores on eBay, Amazon and Etsy

Education

Bachelor of Laws (LL.B.) -

University of Western Sydney
Parramatta
12.2017

RG 146 -

Kaplan Australia
Sydney
2017

Bachelor of Commerce (B.Com.) - Marketing And International Studies

Macquarie University
Macquarie Park
12.2013

High School Diploma -

The King's School
North Parramatta
2009

Timeline

Manager, Risk & Compliance

AMP Group
07.2022 - Current

Product Analyst

AMP Capital
07.2021 - 07.2022

Assistant Product Manager

BT
11.2020 - 07.2021

Wealth Consultant

BT
08.2019 - 10.2020

Senior Investment Adviser

Maqro Capital
08.2017 - 07.2019

Business Banker

Westpac Group
01.2017 - 08.2017

Paralegal

Link Lawyers
01.2015 - 12.2016

Sales Consultant

Yi Dong Trading
01.2009 - 12.2017

Bachelor of Laws (LL.B.) -

University of Western Sydney

RG 146 -

Kaplan Australia

Bachelor of Commerce (B.Com.) - Marketing And International Studies

Macquarie University

High School Diploma -

The King's School

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