James Whelan

Experience

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  Austock

  Jul 2005 - Jul 2007

  Client Advisor

  Stockbroker

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  UBS Investment Bank

  Jul 2007 - Jan 2009

  Client management for the smooth running of account opening, execution, bookings management, settlement.This also covered new business development and cross selling new and different products across the bank. A middle office role facilitating smooth processing between UBS' Investment Bank Execution team and bookings and settlements.

  • Relationship Manager

    Jan 2008 - Jan 2009

  • Equity Trade Support

    Jul 2007 - Aug 2008
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  Pershing Securities Australia (BNY Mellon)

  Aug 2009 - Feb 2014

  Business Analyst/Project Management

  As part of the creation of Penson (later Pershing) we required a "jack of all trades" utility to be across the execution, client transfer, relationship management and creation of the Business Continuity Plan.The BCP was tested and performed admirably on several occasions, including the Brisbane floods and following my departure when evacuation of staff took place during the Lindt Café Siege. Growing Pershing from a three person operation into the biggest clearer in Australia was an achievement I was fortunate to be a part of.Roles/Responsibilities Included:Project ManagementHead of Business Continuity Planning & Disaster RecoveryFATCA ImplementationDesignated Trading RepresentativeHead of GBST SupportHead of Social MediaClient Onboarding and Conversion Show less

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  Commonwealth Bank

  Feb 2014 - Jun 2015

  Senior Relationship Manager

  Team leader for the wholesale advisory sale and support team, my role emerged into gathering feedback from current and potential business leads and working with CBA & CommSec departments to amend and improve the CommSec Advisor Services offering.Often this meant working with CommSec Program Team to create upgrades to the platform offering, requiring business case creation and stakeholder signoff, testing and post-implementation support.

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  Muskets at Dawn Pty Ltd

  Mar 2015 - now

  Assisting CAR's & AFSL's to make the right choice in set up or transfer of execution and/or clearing services.With significant changes coming to the third party clearing space shortly it’s in your best interest to have someone who knows the right questions to ask and can guide you on your journey This is the vehicle under which I consult and invest. Always on the look out for start ups to seed and growth opportunities in which to invest.

  • Strategic Consultant- Third Party Execution & Clearing Services

    Jul 2018 - now

  • Founding Partner

    Mar 2015 - now
• 

  APP Securities

  Jun 2015 - Mar 2016

  Head of Operations

  Following the collapse of BBY, a small group of committed individuals were pulled together to build a new broker from scratch. Bringing together the loose ends of an Operations Department I managed to help as many clients as possible recover stock and funds and start what is now APP Securities.The key here was connectivity. APP needed to be connected to upstream and downstream platforms in a matter of weeks to be operational quickly. That involved working with the ASX, Pershing, market data providers and execution & order management systems along with fund managers and their PMs. Aligning people and direction with the requirements of the broking firm, ensuring maximum client value at minimal risk. Show less

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  VFS Group

  Mar 2016 - Oct 2023

  Investment Manager

  Head of the VFS Group Global Macro Fund, responsible for the creation, connection to back office systems and ongoing sales and promotion of the strategy.Along with this I led the team in the transfer of accounts from an older outdated system (Pershing) to a newer, more powerful international system (Interactive Brokers) Continuing in efforts to make VFS Group more streamlined whilst providing the best advice possible for retail superannuation funds.We pride ourselves on being a centre of excellence for wealth management and financial markets. Our focus and drive is to deliver results that meet your needs and financial objectives.Tying together personalised advice, platform services, superannuation advice and administration services we are best placed to meet your every need in the market. Show less

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  Financial Services

  Jul 2019 - now

  Responsible Manager

  ASIC require that every Financial Services Licence has at least one Responsible Manager to oversee day to day procedures and compliance, ensuring ongoing adherence to the Corporations Act and regulations. This accreditation is only given after experience and assessment are scrutinised by the ASIC licensing team. I am the Responsible Manager of the Australian Mutual Fund Exchange.

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  Australian Mutual Funds Exchange

  Mar 2023 - now

  Managing Director

  Our mission is to provide a complete one-stop fund distribution and analysis solution helping investors to choose the right funds for their investment portfolios. We pride ourselves on being the leading provider of global mutual fund distribution and we deliver our services with a unique combination of professional breadth, vast expertise, and innovative technology processes.

• 

  Barclay Pearce Capital

  Oct 2023 - now

  Managing Director

  Heading up Barclay Pearce Capital’s Wealth Management Team, involving all functions such as overseeing compliance changes and adherence to them, new staffing, business strategy, trading and trading policies, monitoring of risk positions, new business strategies and Investment Committee decisions.