|Key areas of expertise:
- Over 15 years’ experience in the financial services sector.
- Diana has provided guidance on a variety of matters, such as financial advice and dealing, compliance frameworks/programs, consumer disclosure (e.g. PDS, SOA and FSG), product development, responsible lending, licensee/adviser reviews and wealth management in general.
- Diana has supported a variety of entities and businesses, including financial services and credit licensees, trustees of superannuation and pension funds (both public offer funds and self-managed superannuation funds).
- Diana played a key role in the Enforceable Undertaking (EU) agreed between Macquarie Equities Limited (MEL) and ASIC. As the Senior Compliance Manager for MEL, Diana drove the review of procedures and processes and remediation work for wholesale clients, and participated in other EU deliverables, such as the development and implementation of the compliance program and Risk Appetite Statement.
- Diana implemented a new compliance framework and program for Risk Advisory Services.
- Diana has provided compliance support to over 160 independently-owned Australian financial services and credit licensees across Australia and their representatives.
- Diana played a leading role in educating licensees and their representatives on the likely changes flowing from the Future of Financial Advice (FOFA) reforms. She visited licensees across the country and saw first-hand how FOFA was implemented by small to large licensees.
- Diana developed the scope, business case and business requirements for a significant IT upgrade to the income stream (pensions) division of Superpartners; the estimated cost of the build exceeded $50 million.
- In her role as Product Manager for AustralianSuper (a role she held for 5 years), Diana successfully developed and delivered the AustralianSuper Pension within the agreed timeframe and budget of over $1.5 million, which grew to approximately $2 billion within 3.5 years.
- Currently completing the Bachelor of Laws with Deakin University, with an expected completion date of January 2019. Diana is on track to receive honours.
- Diploma of Financial Services (with a Distinction average) – ASFA.
- Diploma of Financial Planning (achieved a Distinction for all 8 units) – Deakin University; FPA approved course.
Completing her studies and continuing to provide compliance support to licensees of all shapes and sizes.
|Interests outside of work:
- Diana is happily married to Mark, and they have an 8 year old daughter. Together with their two cocker spaniels, Colin and Kate, they love to visit the beach.
- Diana and her family regularly visit the UK where they have family in Bath and London.
||“Pain is temporary. Quitting lasts forever.” – Unknown