Peter Blackford
Brighton,QLD
Summary
Driven by a strong ethical desire to coach and mentor, I excelled at Setch Group, enhancing regulatory compliance and adviser confidence through meticulous audits and personalised training. My effective communication and relationship-building skills led to significant process improvements, demonstrating a results-driven approach.
Overview
7
7
years of professional experience
Work History
Advice Assurance Coach
Setch Group
04.2022 - 06.2024
- Ensured compliance with regulatory requirements by performing regular audits and staying up-to-date on industry standards.
- Provided detailed documentation on audit findings, facilitating swift remediation when necessary.
- Developed strong relationships with advisers, building trust and ensuring a high level of satisfaction during the audit process.
- Identified control gaps in processes, procedures and systems through in-depth research and assessment and suggested methods for improvement.
- Boosting adviser confidence through personalised training sessions and continuous feedback.
Advice Assurance Officer
IOOF Holdings
11.2019 - 04.2022
- Conducted audits of financial planning firms, including a mixture of virtual audits as well as travel to business locations.
- Prepared for audit by reviewing electronic records, and previous audit results.
- Conducted firm visits including inspection, audit and and education to firm associates on pertinent compliance topics.
- Post-audit responsibilities including preparation of an audit summary report in respect of each firm visited indicating the grade, findings and remediation requirements.
- Projects as requested by Leader.
Senior Analyst (Contractor)
Deloitte
02.2019 - 11.2019
- Undertook Best Interest Duty (BID) reviews of Statements of Advice.
- Provided comprehensive feedback and relevant reports to advisers regarding BID review assessments.
- Managed remediation of advice given by advisers during the BID review process.
- Ensured agreed SLAs were maintained in respect to the delivery of the BID review process.
- Kept up to date to changes to legislative and regulatory requirements and adhering to these changes.
Compliance Consultant
QED Risk Services
06.2017 - 02.2019
- Conducted audits of consumer loan files and prepared reports describing outcomes attained in meeting Responsible Lending requirements and the ongoing obligations of being a credit representative or licensee.
- Analysed data from the CompliFast system in relation to broker compliance and reported back to the Director and Responsible Manager.
- Implemented coaching and training to Pursuit brokers identified in the data analysis.
- Coached and trained external licensees and credit representatives in using the CompliFast system.
- Responded to all Pursuit Broker Services enquiries by email/phone within their SLA.
Education
Certificate IV In Training And Assessment -
Inspire Education
Online2021
Advanced Diploma of Financial Planning -
Kaplan Professional
Brisbane, QLD2015
Diploma of Financial Planning -
Kaplan Professional
Brisbane, QLD2010
Bachelor of Business Management -
University of Queensland
Brisbane, QLD2002
Skills
- Effective Communication
- Building Relationships
- Regulatory Compliance
- Attention to Detail
- Results Driven
- Strong ethical values and a desire to help people
- Team Player
Timeline
Advice Assurance Coach
Setch Group
04.2022 - 06.2024
Advice Assurance Officer
IOOF Holdings
11.2019 - 04.2022
Senior Analyst (Contractor)
Deloitte
02.2019 - 11.2019
Compliance Consultant
QED Risk Services
06.2017 - 02.2019
Certificate IV In Training And Assessment -
Inspire Education
Advanced Diploma of Financial Planning -
Kaplan Professional
Diploma of Financial Planning -
Kaplan Professional
Bachelor of Business Management -
University of Queensland
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