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Kepa appoints compliance consultant

Adviser group Kepa has appointed a new adviser standards and compliance consultant as it works to help advisers transition to the new licensing regime.

Monday, September 2nd 2019, 12:43PM

Leigh Hodgetts

Leigh Hodgetts will work with Kepa chief executive Brendon Neal on the Kepa Advice Hub proposition – a new service for financial advisers seeking to licence themselves under the new Financial Services Legislation Amendment Act.

Hodgetts will also work closely with Kepa members to implement suitable compliance frameworks and professional business practices.

She joins Kepa on September 16, from Astute Financial Management where she held the role of head of operations and compliance. She is a qualified financial planner and holds a National Certificate in Adult Education and Training.

She previously held roles with the Financial Markets Authority as manager of retail operations and had senior compliance roles with BNZ and ANZ.

Before that, she ran a successful financial planning practice in Brisbane.

Neal said: “We are delighted Leigh is joining the team. She brings to Kepa a deep understanding of compliance frameworks and best practice advice combined with on-the-ground experience of what it takes to be a successful financial adviser.

“This real-world experience is of immeasurable value as we roll-out our Advice Hub service, which is helping financial advisers navigate the new regulatory regime while still maintaining the highest standards of client care.”

Hodgetts said: “Kepa has demonstrated a deep commitment to best practice standards of regulatory compliance and client care. I am looking forward to joining Kepa and working with Brendon and the broader team to help the organisation build out their programme.”

Advice Hub will deliver an extensive selection of training, compliance and business support services to those individuals or groups of advisers who wish to become registered as financial advice providers under the new act.

Key services of Advice Hub will include advice audits; compliance checks; training to the NZQFL5 standard; CPD points access; skills and adviser training; templates and tools; sales and marketing support; technology and human resource assistance.

For those advisers who wish to operate under the Kepa Financial Advice Provider umbrella, the organisation will leverage its Advice Hub and strong governance and management expertise with a comprehensive compliance framework; centralised complaints handling; professional financial management; access to group indemnity cover and access to legal and compliance specialists.

Tags: Kepa licensing

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