Daniel Irvine

• Project Zeus - National Australia Bank
• Preparation of detailed assessment reports delivering review outcomes into financial advice across numerous bank-owned licensees
• Direct customer contact and complaints handling
• Counterfactual instructions for compensation calculation
• Member of the technical team which assesses the most complex cases in the project such as undocumented transactions; listed securities; gearing & margin lending; SMSF

Key Achievements:

• Completion of complex cases resulting in millions in compensation being paid to customers
• Learned and adapted quickly to new technology and software applications.
• Recognised as a specialist in complaints handling and case assessment for complex technical cases
• Demonstrated strong organizational and time management skills while managing multiple projects.
• Worked well in a team setting, providing support and guidance.
• Identified issues, analyzed information and provided solutions to problems.
• Used critical thinking to break down problems, evaluate solutions and make decisions.
• Proved successful working within tight deadlines in a fast-paced environment.

• Commonwealth Bank, Best Interest Duty and Advice Remediation Project, Prevet advice review
• Preparation of detailed advice report for advisers and licensees on quality of advice under Best Interest Duty
• Adviser coaching on how to raise the quality of advice for best practice standards and to meet legal obligations under corporations law
• Raising instances of BID failure or other process concerns with the licensee; setting appropriate remediation; remediation management
• Analysis and assessment of current and future compliance requirements and the impact on advice eg FASEA Standards
• Post-implementation review – AML/CTF, Implementation, Documentation (FDS and OSA)
• Ongoing Service (OGS) delivery assessment client refund calculations
• Key Achievements
• Part of a team that collectively raised the quality of advice across all licensees in the group following the initial audit of advice files by the regulator
• Significant measurable improvements were achieved across the business’ advice ratings and BID compliance
• Coaching advisers to improve their advice quality and compliance in a supportive and cooperative manner
• Successful completion of outstanding remediation items for advisers of Count Financial prior to offboarding
• Successful completion of outstanding remediation items for advisers of Financial Wisdom Ltd.
• Successfully assisted closure of the Financial Wisdom license.

• Provided financial planning advice to Encore Accounting’s clients while researching new and applicable products and services
• Analysed client’s financial information and identified best available product and services to match requirements
• Established and created new client base as initial financial planner for the start-up enterprise
• Explained and documented types of services provided, and the responsibilities by the personal financial advisor to the clients
• Prepared and interpreted for clients information such as Statements of Advice, investment performance reports, financial document summaries and detailed projections in XPlan and Excel
• Collaborated with clients to develop customized investment portfolios.
• Helped clients make informed decisions about financial future.
• Presented financial plans and investment recommendations to clients.
• Helped individuals and families build and execute wealth management strategies based on unique goals and objectives.
• Developed and maintained strong relationships with clients to maximize satisfaction.
• Successfully managed clients and transferred to Spectrum Financial prior to closing of the business.

• Facilitated initial and follow up meetings with clients to identify their financial needs and demands
• Prepared financial plans with a combination of short- and long-term investments as required
• Implemented approved plans and monitored progression in all the stages
• Provided credit advice and periodic updates on the performance of investment portfolios and managed client expectations
• Developed financial projections and forecasts to guide investment decisions.
• Participated in client meetings to discuss financial analysis and investment strategies.
• Created financial strategies to optimize portfolio performance and reduce risk.
• Assisted clients with preparing financial plans, conducting investment research, and completing trades and transactions to assess and meet financial goals.
• Helped individuals and families build and execute wealth management strategies based on unique goals and objectives.
• Devised comprehensive financial plans for clients to achieve short and long-term financial goals.
• Provided specialized financial planning support for clients with diverse portfolios and individual needs.
• Successfully developed and established a significant client base which was later sold to Wealth Architects.

• Provide strategic financial and investment advice to clients and selected small business owners
• Implement new best practice procedures to improve risk profiling, asset allocation, financial strategy and achievement of client’s financial goals
• Compile monthly economic and special updates to meet all financial compliance requirements
• Set up, arrange and schedule meeting with clientele and deliver excellent service to existing client base
• Communicate with other financial professionals, team members and management to improve productivity and efficiency
• Key Achievements
• Successfully provided accurate and updated financial advice to clients to achieve their personal financial goals
• Effectively managed client expectations while providing financial planning and investment advice on fee for service basis.

• Performed financial advice duties including strategy, product and planning based on client requirements
• Provided servicing to the client base and technical support to other advisers in the practice on a regular basis
• Conducted training and development sessions for advisers to improve their capabilities in the industry
• Developed marketing initiatives to source new clients, generated quarterly economic commentary reviews and investment outlook
• Performed financial planning and investment advice on a fee for service basis and created Loans through Australian Finance Group
• Constructed model portfolios for the practice and developed business processes to improve efficiency
• Key Achievements
• Successfully started VISIS with another financial planner in the Riverside Centre
• Prior employment history available upon request