Naomi King
Melbourne,VIC
Summary
Passionate financial markets specialist with over 20 years of experience in professional financial services. Senior Business Manager leading a team of Investment and Superannuation Support Staff, providing comprehensive support to wealth teams in redesigning, transforming, and overseeing their end-to-end operations. Successfully developed efficient business units with streamlined processes that enable the team to deliver high-caliber investment advice to high-net-worth clients. Dedication to investment banking and wealth creation drives enthusiasm for navigating the constant dynamic nature of trading markets and embracing their daily complexities.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Senior Business Manager
JBWere
02.2021 - Current
- Steered annual business growth through operational leadership.
- Designed modern employee recognition program which boosted productivity and improved morale.
- Fostered a culture of continuous improvement by promoting best practices in process optimization, quality assurance, and innovation.
- Enhanced company growth by identifying new market opportunities and developing strategic partnerships.
- Increased overall business efficiency by streamlining processes and implementing innovative management strategies.
- Developed high-performing teams by providing clear direction, fostering collaboration, and encouraging professional development.
- Drove year-over-year business growth while leading operations, strategic vision, and long-range planning.
- Built strong relationships with key stakeholders to facilitate collaboration across departments for optimal business results.
- Reduced operational risks by implementing robust internal controls, compliance protocols, and risk management practices.
- Anticipated financial impact from operational issues and worked with leadership to develop solutions.
- Directed and managed the recruitment strategy.
- Hired, managed, developed and trained staff, established and monitored goals, conducted performance reviews and administered salaries for staff.
SENIOR ANALYST
JBWere
12.2019 - 02.2021
- As a Senior Analyst I managed a team of four wealth advisers with 4 focus areas; People, Financial, Risk and Operational outcomes and led a diverse range of projects for the business unit
- Supported presentations at board meetings by wealth advice directors by preparing and producing complex quarterly and annual financial reports for high net worth clients, charities and not for profit organizations
- Using JBWere directed asset allocation models to rebalance client investment portfolios while ensuring specific mandated investment strategies are stringently adhered to
- Self directed development of compliance matrix for advice group to ensure all advice providers within the team operate and comply with current code of ethics provisions and standards
- Developed an agreed team business plan and regular reports to management team on advice team’s performance based on their revenue and FUM targets
- Lead and support advice team/s to execute and deliver business-wide initiatives and opportunities to achieve desired outcomes
- Prepared complex Statement of Advice material for retail wealth advice clients complying with ASIC and Regulatory guidelines and ever evolving compliance requirements
- Nurtured strong working relationships with clients, ensuring their needs were met while exceeding expectations on deliverables.
- Collaborated with cross-functional teams to identify areas of improvement, leading to increased operational effectiveness.
- Mentored junior analysts, fostering professional development while enhancing overall team performance.
- Improved company efficiency with the development of key performance indicators and tracking metrics.
- Enhanced team productivity by streamlining workflow processes and implementing time-saving strategies.
- Performed audits of subsidiaries to protect shareholders and potential investors from fraudulent or unrepresentative financial claims.
- Collaborated with stakeholders to identify business needs and data sources.
- Generated standard and custom reports to provide insights into client performance.
- Developed and implemented data governance policies and procedures.
SENIOR ADVISOR ASSISTANT
CommSec Advisory
01.2017 - 11.2019
- Collaborated with and developed a strong relationship within my high functioning team of stockbrokers and financial advisers
- My role was to maintain an environment that optimised the handling of their HNWC portfolios and investments, by executing daily trading and covering all other requests and on boarding
- ASIC Enhanced Advisor responsible for maintenance register and ensuring Adviser framework for CDP and continuous knowledge is maintained in line with regulatory requirements
- Daily, weekly and monthly audit reports carried out and submitted to internal Risk Insight for testing and sign off by Line 2 compliance, reviewing all error submissions and reconciling errors monthly for audit
- Preparing Risk Insight breach reporting for Advisory to Line 2 Compliance Risk Executives monthly
- Provide dealing support to a team of Investment Advisors who specialise in portfolio management, self-managed superannuation, international trading and corporate opportunities
- Compiling investment research and conducting portfolio analytics to present to the Investment Adviser
- Float administrative management - including maintenance of client bids for Initial Public Offerings (IPO’s); distribution of letters/prospectus’, follow up receipt of applications/cheques etc
- At a national level was chosen to represent and champion the team of assistants through the sale of the CommSec Advisory business
- Uplifted over 400 client files to new BID requirements with no breaches
- Mentored and trained new assistants nationally
ADVISOR ASSISTANT
Baillieu Holst Ltd
01.2006 - 11.2017
- As an Advisor Assistant I was responsible for servicing high net worth private clients, family groups and private companies
- Establish, build and foster successful client relationships in respect to retail and high net worth individuals, financial planners and other financial service providers
- Structuring, implementing and reviewing individually tailored client investment portfolios with a strong focus on growth and income models and presenting them to an advisor
- Providing advice in the areas of Superannuation Non-basic Deposit Products, Foreign Exchange Contracts, Government Debentures, Stocks or Bonds, Managed Investment Schemes, MDA Services, Standard Margin Lending Facility, Miscellaneous Financial Investment Products - MDA Services, Retirement Savings Account Products
- Writing and producing Statement of Advice, Record of Advice and Investment profiles for clients
- Administrative support to four financial advisors, including participating in client meetings when required, establishing new client accounts, banking arrangements, stock transfers and portfolio maintenance
- Monitoring relevant market news and current affairs
- Manage trading flow in a fast-paced environment
- Review market activity and produce written material
- Working in accordance with compliance regulations and guidelines, company policies and procedures
Education
GRADUATE DIPLOMA - APPLIED FINANCE
Kaplan Professional
01.2012
BACHELOR OF ARTS - HUMANITIES AND SOCIAL SCIENCES
La Trobe University
01.2001
VICTORIAN CERTIFICATE OF EDUCATION -
01.1997
Skills
- Client Engagement
- Advisor Management/Support
- Industry Knowledge
- Managing High Intensity Environments
Affiliations
Stockbrokers and Financial Advisers Association (SAFAA)
Financialskills
- Performance Reviews always met
- Annual Bonus gate openers
Riskskills
No Line 1 or 2 compliance breach in any of my quarterly client file audits
References
- Jennie Rivera, Head of Operations, Avant Group Pty Ltd, former National Business Manager CommSec Advisory, on request, on request
- Nick Bugryn, Director, NAB Wealth, 0408 538 867, nick.bugryn@nab.com.au
- Walter De Gregorio, CPA/Financial/Operational/Risk Management Specialist, on request, on request
Professional Development
- FASEA Ethics Course, SAFAA, 01/01/21
- Margin Lending Accreditation, Deakin Prime, 01/01/11
- Securities & Managed Investments Accreditation Program (RG 146), Deakin University
- Professional Diploma of Stockbroking, Kaplan, 01/01/06
Certification
- FASEA ETHICS COURSE
SAFAA2021
- MARGIN LENDING ACCREDITATION
Deakin Prime2011
- SECURITIES & MANAGED INVESTMENTS ACCREDITATION PROGRAM (RG 146)
Deakin University
- PROFESSIONAL DIPLOMA OF STOCKBROKING
Kaplan2006
Timeline
Senior Business Manager
JBWere
02.2021 - Current
SENIOR ANALYST
JBWere
12.2019 - 02.2021
SENIOR ADVISOR ASSISTANT
CommSec Advisory
01.2017 - 11.2019
ADVISOR ASSISTANT
Baillieu Holst Ltd
01.2006 - 11.2017
BACHELOR OF ARTS - HUMANITIES AND SOCIAL SCIENCES
La Trobe University
VICTORIAN CERTIFICATE OF EDUCATION -
GRADUATE DIPLOMA - APPLIED FINANCE
Kaplan Professional
Similar Profiles
Justin LeaveyJustin Leavey
Assessor/QC at JBWereAssessor/QC at JBWere
Jackson AbrahamJackson Abraham
Case Assessment – Advice Remediation at JBWere Wealth Management (NAB)Case Assessment – Advice Remediation at JBWere Wealth Management (NAB)
Sojad HydariSojad Hydari
Assistant Store Manager at TelstraAssistant Store Manager at Telstra