Sarah is a Compliance Officer who has specialised in compliance for Financial Advisers and their regulatory requirements for the past 10 years. She has coached and assisted advisers and their support staff for the past 20+ years in all areas of the financial advice process.
Sarah has a commonsense approach to explaining and providing understanding of requirements including delivering recommendations for improvements to processes/systems and adapting training styles to audiences. She has expert knowledge in Insurance, SMSF’s, remediation and revenue management (utilised when determining accuracy in service agreements and remediation).
Sarah has worked for large Licensee’s including small/medium advice firms in a compliance and consultant capacity. She has experience in writing updates for board reports and delivering training sessions on any compliance matter. Sarah has experienced the industry movement through the GFC and the changes incurred from the Royal Commission and FASEA.
“I absolutely enjoy finding outcomes for advisers and advice businesses that provide positive outcomes for both the regulator and the business itself. The areas of compliance can be grey, and I am passionate about solving the puzzle for clients.”
Expertise
Sarah has experience advising on all aspects of Compliance, with a focus on:
- Vetting and audit of advice files
- Remediation requirements
- Policy construction and review
Qualifications
- Diploma of Financial Planning, Kaplan (AQF4)
- Licensed Financial Adviser (2018 to 2023)
Get to know Sarah
In her spare time, Sarah enjoys being creative and has a passion for fibre arts including knitting, embroidery, sewing and weaving. She is currently developing these skills further and obtaining accreditation with City & Guilds of London. She also enjoys watching cricket, golf and cycling (particularly the Tour de France).
