Samantha Obeney

• Strategic Financial Planning
• Investment Management & Portfolio Strategy
• Superannuation & Retirement Planning
• Risk Management & Insurance Solutions
• Estate & Tax Planning
• Regulatory Compliance (FASEA, ASIC)
• Client Relationship Management
• CRM & Financial Planning Software (Xplan, AdviserLogic, PlutoSoft, Fin365)

Determine appropriate course of action, conducting investigative steps to fully identify the issues, researching

compliance information, terms, conditions, creasing correspondence as needed, processing complex and/or

corrective transactions (monetary and non-monetary actions)

• Serve as an intermediary to resolve disputed matters, negotiate and end enact settlements.

• Recommended standards, policies and/or procedures to correct deficiencies

• Ensure identified risks and problems are clearly documented

• Review files individually or in aggregate, to determine if processes and documentation are in compliance with

internal company requirements, contractual terms/conditions, insurer guidelines, investor requirements and

government regulations to perform remediation activities

• Managing workflow and meeting deadlines

• Meeting KPI’s consistently

• Respond to, research and resolve escalated inquiries and complaints requiring special handling that have been

forwarded by management and senior business leaders.

• Obtain, sort and review revenue and transaction data to determine changes and differences.

• Provide support and training to team members and stakerholders

• Communicate professionally with all areas of the business

Achievements

• Best performing Quality Control and Case Assessor for multiple months during a 12-month period.

• Providing holistic advice to achieve client’s goals

• Client focus

• Maintain a high level of compliance in client files and providing advice

• Completing education requirements

• Meeting sales targets

• Retaining existing client relationships

• Preparing SOA and ROA

• Preparing ROA & SOA
• Providing Adviser support