Summary
Overview
Work History
Education
Skills
References
Timeline
Generic

Kristy McFarlane

Summary

I have demonstrated success with over 20 years' experience in a number of roles within the financial planning industry, including ensuring advice and client files are compliant.


I believe my proactive nature and ability to successfully manage multiple priorities with a high degree of accuracy will ensure my success within a new compliance role.


I also bring to any position a high work ethic and exceptional communication/interpersonal skills.


I have a genuine passion for all Australians to have the ability to enjoy a comfortable retirement so would value being a member of Spirit super.

Overview

22
22
years of professional experience

Work History

Case Assessor

Big 4 Consultancy Group
01.2022 - Current
  • Assessment of financial planning cases, ensuring that consistent and fair remediation standards apply for all customers throughout the remediation experience
  • Identify issues and collaborate on remedial actions and solutions
  • Identify remediation themes
  • Stay updated on Industry Standards.

Paraplanning / Compliance Support

Self Employed
01.2012 - 01.2022
  • Pre-Audit file checks to ensure all required documentation is on file
  • As required, completing pre and/or post SOA checklists to ensure advice is both appropriate and compliant and all required documentation is on file
  • Providing technical support to Financial Planners and other paraplanners by remaining up to date on legislative, industry and product changes
  • Undertaking comparisons for investment, superannuation, and insurance products to consider cost and features, using software or via direct comparison from PDS's
  • If necessary, liaising with planners regarding appropriateness of strategy or product selection to re-work advice, ensuring it is appropriate and compliant
  • Preparing personalised financial planning documentation, including SoA's, RoAs and strategy papers, utilising Midwinter and XPlan software predominantly
  • Providing detailed financial modelling with scenario analysis, using Midwinter, Xplan or Excel
  • Building strong relationships with advisers through all dealings
  • Representing contract paraplanning company at financial planning professional development days.

Senior Financial Advisor

Whittaker MacNaught
01.2006 - 01.2012
  • Fostered successful relationships with prospects and clients to provide initial and ongoing financial advice
  • Provided thoughtful quality strategic and investment advice based on individual client needs, goals and objectives
  • Monitored accounts and conducted regular reviews to ensure consistency with client goals.

Financial Advisor

QPlan
01.2004 - 01.2006
  • Conducted in-depth reviews of client's goals and investments
  • Provided ongoing service to a high net worth client base, with predominately SMSFs
  • Effectively communicated complex strategies to clients.

Associate Advisor

Visis Financial Planning
01.2002 - 01.2004
  • This entry level role involved the establishment of a client base and assisting a Senior Planner
  • Prospect on a daily basis, utilising various avenues to secure appointments with potential clients
  • Met with clients to build important rapport and undertake initial fact find
  • Worked closely with Senior adviser to develop an appropriate financial plan
  • Assisted with answering client queries and ensured they felt comfortable with the advice provided
  • Undertaking all administrative roles to implement advice
  • Manage day to day administration of clients
  • Prepare review documentation.

Education

Masters of Financial Planning -

Griffith University

Bachelors of Engineering (Mechanical) -

Queensland University of Technology

Skills

  • Highly educated and experienced
  • Strong analytical skills
  • Self sufficient
  • Ability to meet deadlines
  • Personable and professional

References

Available upon request

Timeline

Case Assessor

Big 4 Consultancy Group
01.2022 - Current

Paraplanning / Compliance Support

Self Employed
01.2012 - 01.2022

Senior Financial Advisor

Whittaker MacNaught
01.2006 - 01.2012

Financial Advisor

QPlan
01.2004 - 01.2006

Associate Advisor

Visis Financial Planning
01.2002 - 01.2004

Masters of Financial Planning -

Griffith University

Bachelors of Engineering (Mechanical) -

Queensland University of Technology

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Kristy McFarlane