With more than 16 years of experience in Australian financial services, this senior professional specialises in AFSL governance, regulatory compliance and operational transformation within adviser networks.
Core areas of expertise include:
- ASIC regulatory frameworks and responsible manager oversight
- Compliance auditing, remediation programs and licensing obligations
- Adviser due diligence, onboarding and authorised representative transitions
- Regulatory reporting and compliance calendar management
- Policy development and compliance strategy with executive teams
Beyond technical compliance, they bring genuine leadership capability – having managed teams of advisers, paraplanners and compliance staff through periods of growth and regulatory change.
Operational transformation is a consistent thread throughout their career:
- Designing scalable compliance systems that support business growth
- Strengthening internal controls and improving workflows
- Implementing technology solutions that streamline reporting and compliance processes
Earlier roles in financial services operations and practice management built a strong foundation in adviser support and paraplanning – giving them a practical understanding of the real-world challenges advice businesses face.
They hold qualifications in commerce, financial planning and emerging technologies, and bring together regulatory expertise, operational leadership and technology awareness to help businesses strengthen governance and operate confidently within Australia’s regulatory environment.
For more information and an extensive CV please contact Jim Prigg on 0408 520 453 or email jim@knowledgemaster.com.au.