Seeking fortune and glory
It’s a short song, but it’s a
Hell of a story”
— Hunters and Collectors, “Holy Grail”, © O/B/O Apra Amcos
Oh, Assured Support? That rings a bell…
Despite our experience and high level of activity, we don’t have a high profile.
We don’t loiter in the industry magazines, pay to promote our content or shill at conferences and events. We could claim this is a moral position, but the reality is that we’re just far too busy (and introverted) to focus on anything more than delivering exceptional service to our clients.
Sure, we’re shy and retiring but we’re also innovative, competent and effective.
Although some potential clients think we’re a ‘one man band’, we have a depth that surprises them.
Since we’re commencing a new year (gong xi fa cai), we thought we’d take this opportunity to reintroduce our team.
Regulation, Infrastructure, Compliance and Conduct
Sean is the Managing Director of Assured Support and the architect for the OpenAFSL compliance platform. Since 1996, Sean has specialised in financial services law, compliance and risk management and has extensive experience in Distribution, stockbroking, product manufacturing and advice.
Sean helps advisers and licensees to cope with regulatory complexity and frequent change by providing clear, practical and commercial advice. A widely published author and skilled communicator, Sean is a skilled communicator with a talent for cutting through.
In addition to his consulting and policy roles with Suncorp, BT, the Association of Superannuation Funds of Australia and Mills Oakley Lawyers, he has held senior executive roles with the Millennium3 Financial Services Group, Commonwealth Bank and Colonial First State.
Competency, Compliance and Conduct
As a lawyer and educator, Angelique brings a broad perspective and highly-technical insight to compliance challenges and the opportunities presented by regulation. A specialist in financial services law, compliance and risk management and she has extensive experience in Distribution, education, product manufacturing and training. She’s also key contributor to industry policy, working to build a competency and capability framework for those supporting an industry lurching towards professionalism.
Building on her roles with ASIC, Macquarie Bank, Commonwealth Bank, BT and Suncorp, Angelique combines her deep knowledge of education with her regulatory experience and a sharp legal mind. She’s a relentless and passionate advocate for better governance, education and ethics.
The best compliance people love the opportunity their job provides them to make a difference; to improve someone’s circumstances and make their job a little easier. That’s certainly how Ben approaches his role.
His practical experience as a paraplanner and institutional adviser equips him to understand the complexities and challenges of providing advice but he supplements his exceptional technical knowledge with a warmth and humanity that’s often missing in most reviewers. As a practical and commercial professional, Ben works to help advisers get better without compromising standards.
Systems, Compliance and Conduct
Kye is a Senior Consultant and joined Assured Support in 2018. Kye has a strong background in banking and wealth management and over 20 years experience analysing, developing compliance frameworks, policies and advice documentation.
With over 20 years experience in the financial services industry, with leaders including Medfin, Westpac/BT, AMP and Suncorp , Kye is process-orientated and has demonstrable skills advising, influencing and guiding internal and external stakeholders.
Her extensive compliance experience includes licensing, monitoring and supervision, operational and conduct risk requirements. Her strong technical knowledge and customer focus equip her to assist her clients to deliver high quality financial advice that aligns to, and often exceeds, legal and regulatory requirements.
Regulation, Compliance and Conduct.
Michael, a financial advisor by background, joins Assured Support with a strong history in Banking and Financial Planning gained over 22 years in major financial services and wealth management institutions. In his industry roles, he has led teams of financial planning and wealth management professionals ensuring the delivery of high-quality financial advice that aligns to both regulatory requirements and organisational strategy and purpose. As our Engagement Lead, he’s often the first contact for potential clients and the gatekeeper for the exceptional services we provide.
Michael is accomplished at driving compliance risk management transformation programmes across organisations and is passionate about ensuring these programmes meet the needs of all stakeholders. Michael has held senior management roles in industry and his commercial expertise, business planning and strategy skills complement his ability to deliver superior advisory services to our clients.
Henri has over 15 years [20+ years -Ed.] practical compliance and risk experience in financial services and has worked with advisers, practices and leading brands such as CBA, MLC, ipac and Suncorp. There’s little that escapes Henri’s attention and his significant experience in a range of advice businesses make him an incredible resource for advisers seeking to improve their advice.
In addition to having an intimidating presence and a solid professional reputation, Henri holds a Business Degree in Financial Planning from RMIT, a Diploma of Financial Planning from Deakin University, a Masters of Legal Studies from UTS, a Certificate 4 in Compliance Management from the ACI and a Certificate 4 in Finance and Mortgage from KAPLAN Professional.
Patricia is the calm, fixed point of sanity at the heart of the Assured Support business.
Organised, unflappable and unfailingly pleasant, Patricia will often be our client’s preferred point of contact and one of the few members of the team who knows exactly what’s going on at any point in time. If you need anything, Patricia is your best hope.
With over 20 years experience in financial services (and 10 years in health), Maria applies her considerable leadership and development experience to consulting, mentoring and business development. As a connector, and passionate advocate for advice, Maria’s review approach humanises compliance without compromising her commitment to the advice profession.
As an advice coach, Maria helps our clients identify new opportunities, enhance their offerings and leverage their brands to grow and prosper. There are few better people able to connect with advisers and staff and deliver sensitive and effective coaching that surpasses average and delivers lasting commercial benefits.
Dave is one of those rare former-advisers that doesn’t bring a legacy of resentment, bitterness and failure to his role as a reviewer and business coach. In fact, his solid commercial experience building (and selling) a successful advice practice, creating referral networks and helping to remediate advice failures are based on a solid understanding (and under-stated knowledge) of the law and industry practice.
Probably as a result of his technical expertise and easy-going nature, Dave is an exceptionally effective advice coach. Better yet, he can explain and deliver bad compliance results with a simplicity and amiability that generates appreciation, understanding and behavioural change.
With the emerging recognition of the importance of regtech and fintech, great technologists and great coders are highly sought-after and difficult to recruit and retain.
So, we won’t talk about Robert’s undeniable skills or provide his contact details.
We will however confirm that he’s a critical member of the Assured Support team and one of the architects of what we consider to be Australia’s best reg-tech platform. Of course, we might be a little biased.