Guy Boland

Experience

• 

  Westpac New Zealand Limited

  Dec 2008 - Mar 2011

  Provided support to investment advisers who were dealing with high net worth customers. This involved investment administration and preparation of financial plans and within the Bank’s predetermined template.

  • Investment Plan Writer (Secondment)

    Jun 2010 - Mar 2011

  • Customer Service Officer

    Dec 2008 - Jun 2010
• 

  ASB Bank

  Oct 2013 - now

  This role is a dedicated risk and compliance resource for ASB’s Wealth & Insurance division. In this role I was accountable for the effective risk and compliance management of the division’s Authorised Financial Advisers (AFAs) and specialist advisers. Typical tasks I performed:• Ensured divisional AFAs and specialist advisers were compliant with applicable laws and regulations and the internal policies of ASB Bank;• Exercised sound judgment in the assessment and determination of incidents and issues, appropriately escalating and managing resolutions in a timely manner;• Worked with key stakeholders to ensure the various risk management frameworks were well disseminated, embedded and adhered to;• Reviewed business processes to identify risks and control gaps and influenced key stakeholders to propose, agree and implement improvements;• Assisted with preparation for the divisional monthly risk forum where areas of concern impacting the business risk profile were raised and discussed, and appropriate remedial actions agreed upon;• Facilitated the completion of quarterly FAA attestations by business unit heads and executive management;• Assisted with the annual update of the QFE Adviser Business Statement (ABS) regulatory document, which is submitted annually to the Financial Markets Authority (FMA); and• Assisted with regulator monitoring visits at a divisional level. Show less

  • Regional Manager, Wealth Distribution

    Aug 2023 - now

  • Head Of Wealth Distribution Support Services

    Sept 2017 - now

  • Manager Paraplanning

    Mar 2015 - Sept 2017

  • Senior Paraplanner

    Mar 2011 - Feb 2015

  • Risk Compliance Manager

    Oct 2013 - Jun 2014