Summary
Overview
Work History
Education
Skills
References
Timeline
Generic

Matthew Deng

Sydney,Australia

Summary

Experienced Financial Services Professional with a proven track record in financial advice, remediation, and dispute resolution. Successfully transitioned from paraplanning to Complaint Case Manager, managing Internal and External Dispute Resolution cases since 2019. Expertise in superannuation, personal insurance, and retirement planning, ensuring compliance with regulatory standards and delivering high-quality outcomes. Notable achievements include reducing complaint resolution costs and enhancing collaboration across functions while meeting strict IDR timeframes.

Overview

17
17
years of professional experience

Work History

Case Manager (Worker's Compensation)

DXC Technology
Sydney, NSW
12.2024 - Current
  • Managed the full lifecycle of workers’ compensation claims, from initial lodgment through to return-to-work outcomes and claim closure.
  • Assessed medical treatment plans and coordinated appropriate care to support recovery and facilitate early return-to-work objectives.
  • Processed payments for medical expenses and weekly compensation entitlements following legislation and internal policy.
  • Applied detailed knowledge of the legal framework underpinning workers' compensation, ensuring compliance with the Workplace Injury Rehabilitation and Compensation Act 2013.
  • Conducted complex and sensitive conversations with injured workers, employers, and medical professionals with empathy, professionalism, and clarity.
  • Supported stakeholders in navigating return-to-work obligations, working closely with treating practitioners and employers to implement sustainable return-to-work plans.
  • Arranged independent medical examinations and reviewed treatment requests to assess appropriateness and funding eligibility.
  • Developed and implemented case management strategies tailored to individual claims, ensuring efficient progression and outcome-focused management.
  • Liaised with a variety of stakeholders, including injured workers, employers, allied health providers, and legal representatives, to ensure consistent communication and coordinated care.
  • High-volume call handling, including responding to customer enquiries and managing inbound and outbound communications.
  • Accurate and timely claims administration, including benefit assessment and processing of stakeholder payments.
  • Effective time management and prioritisation across multiple technology platforms and cases.
  • Strong problem-solving and analytical skills, enabling evidence-based decision-making in complex cases.
  • Cultural sensitivity and awareness of the social, psychological, and medical challenges faced by injured workers.

Complaint Case Manager (IDR & EDR)

IOOF/Insignia/Rhombus Advisory
Sydney, NSW
01.2019 - 11.2024
  • Review and handle Internal Dispute Resolution (IDR) and External Dispute Resolution (EDR) matters, producing detailed, accurate case assessments that supported transparent, well-informed decision-making processes.
  • Ensured the timely and effective resolution of complex financial planning disputes, actively addressing client concerns while adhering strictly to RG271 regulatory obligations and Australian Financial Complaints Authority (AFCA) guidelines.
  • Demonstrated a strong commitment to upholding and often exceeding mandated regulatory timeframes, directly contributing to improved operational efficiency, enhanced client trust, and strengthened accountability within the complaints-handling framework.
  • Minimized the financial impact of disputes on the business by negotiating commercially viable outcomes grounded in comprehensive evidence and detailed case analysis, striking a balance between legal integrity and customer fairness.
  • Managed complaints in strict alignment with internal policies and external regulatory frameworks, ensuring full compliance while maintaining a client-centric approach to resolution.
  • Managed effective cross-functional collaboration by establishing and maintaining strong relationships with key stakeholders, internal business units, and dedicated complaints teams, serving as a central point of contact for guidance, risk assessment, and decision support.
  • Remained actively informed on emerging financial crime risks, evolving security trends, and systemic issues, contributing to proactive risk management and ensuring readiness for future regulatory and reputational challenges.
  • Maintained rigorous oversight of complaint-handling processes to ensure ongoing adherence to all relevant regulatory and policy requirements, thereby mitigating risk and enhancing governance standards.
  • Conducted in-depth impact analyses for complaints escalated to AFCA, identifying and quantifying legal, financial, and reputational risks. These insights informed tailored, strategic resolution pathways aimed at achieving sustainable and defensible outcomes.
  • Delivered comprehensive, data-driven reports to senior management and key governance forums, influencing policy development and driving continuous improvement in complaint-handling operations and dispute management strategy.
  • Built and maintained strong working relationships with Professional Indemnity (PI) insurers, ensuring alignment and collaboration on complex and high-risk case resolutions.
  • Provided clear, consistent, and empathetic communication to clients throughout the complaint lifecycle, effectively managing expectations and reinforcing client confidence in the dispute resolution process.
  • Produced accurate loss calculations through rigorous counterfactual analysis, enabling equitable and legally sound settlements that reflected client detriment and business responsibility.
  • Oversaw the end-to-end execution of settlement payments, ensuring timely disbursement and full compliance with agreed-upon terms and regulatory expectations.

Compliance / Case Assessor (Contract Position)

Big 4 Consulting Firms
Sydeny, NSW
04.2018 - 09.2018
  • Conducted comprehensive compliance reviews across multiple business units to ensure adherence to the client's Australian Financial Services Licence (AFSL) obligations and relevant regulatory requirements. Regularly monitored operations to validate ongoing compliance with established licensing standards.
  • Performed detailed and methodical file assessments, clearly documenting the rationale behind decisions and recommendations. Assessed advice against key criteria, including best interest duty, appropriateness, and consistency with regulatory benchmarks.
  • Cross-referenced the financial advice provided with each client’s stated objectives, financial position, and personal circumstances, ensuring recommendations were suitable, tailored, and aligned with documented client needs.
  • Verified that all fees, including initial and ongoing service fees, were accurately disclosed and charged per the Statement of Advice (SOA) and client agreements. Ensured compliance with the Fee Disclosure Statement (FDS) where applicable.
  • Assessed whether ongoing services provided or offered were consistent with the agreed terms outlined in the SOA or FDS, identifying any potential breaches or gaps in service delivery.
  • Liaised directly with clients to gather essential information—including financial details, personal goals, and relevant circumstances—required to complete assessments and validate advice appropriateness.
  • Collaborated with actuaries by supplying detailed case information necessary for detriment calculations, and assessed counterfactual scenarios to determine the potential impact of inappropriate or substandard advice.
  • Contributed to the enhancement of assessment methodologies by providing constructive feedback on current guidelines, processes, and frameworks. Supported continuous improvement initiatives to refine review standards and improve the accuracy and fairness of case evaluations.

Case Manager (Contract Position)

HSBC
Sydney, NSW
12.2016 - 03.2018
  • Conducted accurate and timely assessments of client files per internal policies, project procedures, and all relevant legislative and regulatory requirements under the AFSL framework.
  • Collected and reviewed all necessary case information through direct client engagement, ensuring a complete understanding of each client's financial circumstances, objectives, and personal background.
  • Assessed the appropriateness and quality of financial advice provided to clients, evaluating compliance with regulatory obligations, including Corporations Act provisions, ASIC guidelines, and licensing conditions.
  • Applied project-specific methodologies and case management frameworks consistently across all assessments, ensuring procedural fairness, auditability, and alignment with remediation objectives.
  • Independently completed detailed file reviews and assessments within prescribed timelines, demonstrating efficiency, accuracy, and a strong understanding of advice review principles.
  • Maintained a professional, empathetic, and unbiased communication style when interacting with retail clients, carefully extracting necessary information while managing sensitive conversations with discretion.
  • Produced accurate, timely reports for submission to the Program Manager, summarising key findings, risk indicators, and remediation recommendations for broader project oversight.
  • Monitored client account activity, settlement transactions, and payments for anomalies or irregularities. Identified, escalated, and investigated suspicious or potentially fraudulent transactions following AML/CTF obligations.
  • Prepared and submitted Suspicious Matter Reports (SMRs) to meet statutory requirements, ensuring all red flags were appropriately documented and escalated.
  • Documented the rationale behind all assessment decisions, demonstrating a sound and defensible basis for conclusions regarding advice quality, client outcomes, and any remediation owed.
  • Utilised advanced interpersonal and communication skills when engaging with clients, ensuring a clear understanding of their financial situation while maintaining a calm, professional manner that avoided causing concern or distress.
  • Adhered to HSBC’s internal control standards and governance expectations, ensuring compliance with the Group Compliance Policy. Promptly implemented recommendations made by internal/external auditors and regulators.
  • Supported the development and maintenance of a strong compliance culture by managing compliance risk in coordination with Group Compliance leaders, ensuring the availability of adequate resources, providing training where required, and maintaining constructive relationships with external regulators.

Para-planner

MeritWealth
Sydney, NSW
04.2016 - 10.2016
  • Provided strategic support in the development and construction of tailored Statements of Advice (SOAs), ensuring recommendations were aligned with client goals, financial objectives, and regulatory standards.
  • Utilised established data-gathering procedures and reporting processes to prepare high-quality financial advice documents, enhancing consistency, efficiency, and auditability.
  • Held responsibility for overseeing the quality and timely delivery of all SOAs produced by the para-planning business unit, ensuring service level agreements (SLAs) and compliance benchmarks were consistently met.
  • Collaborated with internal teams to identify, assess, and manage operational and compliance risks, contributing to a robust and proactive risk management culture across the business.
  • Reviewed core business processes and key operational activities to identify areas of risk exposure, recommending practical, compliant solutions to mitigate those risks.
  • Reported directly to the Head of Compliance on project initiatives and risk-related matters, ensuring leadership had timely insights into process improvements and emerging compliance issues.
  • Conducted thorough reviews of current advice templates and disclosure documents, recommending and implementing improvements to ensure clarity, suitability, and regulatory alignment.
  • Developed a strong understanding of all relevant policies and procedures, ensuring they met local regulatory and legislative requirements. Actively contributed to policy updates and ensured accurate documentation and distribution.
  • Responded to adviser and internal team queries relating to financial services regulation, providing compliance guidance and ensuring clarity around obligations under the Corporations Act and ASIC frameworks.
  • Assisted in the execution of internal compliance reviews, monitoring adherence to procedural and legislative standards and supporting continuous improvement initiatives.
  • Conducted suitability assessments for Self-Managed Superannuation Fund (SMSF) clients, applying compliance checks and advice quality standards to determine appropriateness of recommendations.
  • Reviewed and improved SMSF advice templates to enhance usability, regulatory alignment, and client understanding.
  • Contributed to the creation and publication of fact sheets on key financial topics, including Business Interruption Insurance, Superannuation, SMSFs, Estate Planning, and Personal Insurance, supporting adviser education and client awareness.
  • Participated in risk mitigation activities at the licensee level, including review of the Approved Product List (APL) to identify and address emerging concerns and ensure product suitability.
  • Performed ad hoc tasks as required, contributing to broader team goals and supporting project success.

Senior Para-planner

PATRON Financial Advice
Sydney, NSW
12.2014 - 03.2016
  • Performed customer due diligence (CDD) for both individual and business client portfolios, ensuring compliance with identification and verification obligations in line with AML/CTF regulations.
  • Established, implemented, and maintained defined service level standards for advisers and their clients, supporting consistent delivery of high-quality para-planning services.
  • Ensured timely delivery of Statements of Advice (SOAs) within agreed Service Level Agreements (SLAs), maintaining efficiency and reliability in the advice production process.
  • Conducted thorough compliance checks on all advice documentation, reporting any instances of non-compliance to the Professional Standards Manager for remediation or escalation.
  • Developed and nurtured professional relationships with Patron advisers to understand their needs, provide technical support, and deliver personalised service.
  • Acted as a liaison between the para-planning team and external Fund Managers and Life Insurance company representatives, facilitating access to product information and operational support.
  • Contributed to technical training and development by preparing and delivering high-quality material for Professional Development (PD) sessions and actively engaging in discussions to enhance team capability.
  • Played a key role in the ongoing development of team members, offering mentorship, knowledge-sharing, and practical assistance across various aspects of the para-planning function.
  • Continuously built knowledge of adviser products, the Approved Product List (APL), business operations, and Patron’s product suite to ensure accuracy and relevance in advice preparation.
  • Maintained accountability for the quality and timeliness of all SOAs issued by the para-planning business unit, ensuring compliance, consistency, and adviser satisfaction.
  • Collaborated with cross-functional teams to proactively identify, monitor, and manage operational and compliance risks within the advice process.
  • Reviewed business processes and key activities to identify emerging risks or inefficiencies, providing recommendations for improvement and control enhancements.
  • Conducted assessments of risks associated with material changes in business processes, regulatory requirements, or adviser operations, ensuring potential impacts were understood and mitigated.
  • Managed a structured calendar of key risk activities and compliance checkpoints, ensuring deadlines were met and critical tasks were completed as part of the overall risk governance framework.

Para-planner (Contract Position)

CBA
Sydney, NSW
02.2014 - 12.2014
  • Prepared and constructed comprehensive Statements of Advice (SOAs), encompassing both straightforward and complex financial strategies tailored to client needs.
  • Conducted multiple strategy projections and advanced financial modelling to evaluate various investment and retirement scenarios.
  • Performed in-depth scenario analysis to assess potential outcomes and support well-informed client recommendations.
  • Actively participated in both immediate team and wider departmental meetings, contributing insights and collaborating on ongoing projects.
  • Attended regular professional development and compliance training sessions to stay current with industry regulations, best practices, and evolving financial planning standards.
  • Provided timely technical and compliance support to advisers and team members, ensuring advice documentation met all regulatory and internal policy requirements.

Para-planner (Contract Position)

Mercer
Sydney, NSW
10.2013 - 02.2014
  • Constructed tailored Statements of Advice (SOAs) covering a range of client needs, including Transition to Retirement (TtR), Retirement planning, Centrelink entitlements, Defined Benefit considerations, and Sustentation strategies.
  • Developed and analysed multiple strategy projections and financial models to evaluate diverse client scenarios and optimise outcomes.
  • Prepared and recommended simple and complex SOAs, incorporating comprehensive elements such as risk management, wealth accumulation, tax-effective investment strategies, retirement planning, and estate planning.
  • Conducted detailed financial modelling and scenario analysis to support robust, client-focused advice and strategic decision-making.

Para-planner (Supervisor)

Planpack
Sydney, NSW
07.2012 - 08.2013
  • Constructed comprehensive Statements of Advice (SOAs) to meet diverse client needs with accuracy and compliance.
  • Provided ongoing support and training to new and junior staff, fostering skill development and knowledge transfer within the team.
  • Actively participated in both immediate team and broader departmental meetings, contributing to collaborative problem-solving and project initiatives.
  • Reviewed key operational activities and processes, identifying risk exposures and recommending effective mitigation strategies to enhance compliance and efficiency.
  • Managed a calendar of critical risk-related processes and activities, ensuring timely completion and adherence to regulatory deadlines.
  • Supported advisers with documentation preparation, technical guidance, data collection, and financial modelling to facilitate seamless advice delivery.
  • Coordinated external resources and specialists required for complex advice construction, ensuring quality and timeliness.
  • Oversaw the advice implementation phase, monitoring progress and resolving issues to ensure client objectives were successfully achieved.

COMPLIANCE (Contract Position)

BT Financial Group
Sydney, NSW
05.2011 - 12.2011
  • Conducted vetting and quality assurance reviews of para-planners’ work to ensure strict adherence to business policies, procedures, and systems.
  • Provided responsive support to address ad-hoc queries regarding para-planners’ compliance with internal policies and operational standards.
  • Delivered training and knowledge transfer sessions focused on business policies and procedures, enhancing para-planners’ understanding and practical application of regulatory requirements.
  • Interpreted and translated complex legal and regulatory obligations into clear, actionable guidance for para-planners to ensure compliance in day-to-day activities.
  • Consistently met agreed performance targets, contributing to the achievement of established service standards and operational excellence.
  • Actively participated in both immediate team and broader organisational meetings, collaborating to support continuous improvement and alignment with business objectives.

Domestic Claim Officer (Contract Position)

Suncorp
Sydney, NSW
02.2009 - 12.2009
  • Coordinated the appropriate engagement of external service providers, including assessors, investigators, technical experts, and solicitors, to support accurate and thorough claim assessments.
  • Collaborated effectively within a team environment, ensuring that any arising issues were resolved promptly without compromising the quality of customer service.
  • Managed the appointment process of external specialists to facilitate expert evaluation and enhance claim outcomes.
  • Focused on improving both internal and external customer satisfaction by delivering efficient, transparent, and fair claims handling.
  • Ensured claims were processed and paid promptly, fairly, and consistently in line with company policies and regulatory standards.
  • Contributed to reducing overall claims costs through early intervention strategies that promoted timely settlements and minimized prolonged disputes.

Education

Diploma of Mortgage Broking -

AAMC
12.2015

Self-Managed Super Fund (SMSF) Qualification -

Kaplan
12.2011

Advanced Diploma of Financial Services -

PS146
12.2009

Diploma of Financial Services -

PS146
12.2007

Skills

  • Quality assurance and excellence
  • Analytical skills
  • Reporting and compliance
  • Advisory remediation
  • Problem-solving
  • Customer due diligence
  • Team collaboration
  • Ethical judgment and integrity
  • Strategic planning

References

Available upon request

Timeline

Case Manager (Worker's Compensation)

DXC Technology
12.2024 - Current

Complaint Case Manager (IDR & EDR)

IOOF/Insignia/Rhombus Advisory
01.2019 - 11.2024

Compliance / Case Assessor (Contract Position)

Big 4 Consulting Firms
04.2018 - 09.2018

Case Manager (Contract Position)

HSBC
12.2016 - 03.2018

Para-planner

MeritWealth
04.2016 - 10.2016

Senior Para-planner

PATRON Financial Advice
12.2014 - 03.2016

Para-planner (Contract Position)

CBA
02.2014 - 12.2014

Para-planner (Contract Position)

Mercer
10.2013 - 02.2014

Para-planner (Supervisor)

Planpack
07.2012 - 08.2013

COMPLIANCE (Contract Position)

BT Financial Group
05.2011 - 12.2011

Domestic Claim Officer (Contract Position)

Suncorp
02.2009 - 12.2009

Diploma of Mortgage Broking -

AAMC

Self-Managed Super Fund (SMSF) Qualification -

Kaplan

Advanced Diploma of Financial Services -

PS146

Diploma of Financial Services -

PS146

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Matthew Deng