We're delighted to announce that, this month, Kate Humphries has been appointed as General Manager of our planned Sydney office for Compact – Compliance & Training, a compliance business related to the law firm Holley Nethercote. Previously heading up Pathway Licensee Services, a Netwealth-owned compliance firm in Sydney, Kate has a depth of experience and a friendly manner that has made her a delight for us to work with over many years. When we worked with Kate as Compliance Manager at financial planning dealer group DKN/Lonsdale, we were impressed by her clear approach to governance, regulatory risk management, and culture. She's continued to develop that skill set in her subsequent role at Pathway. We look forward to working with her as General Manager of our planned Sydney office, building deeper relationships with the Sydney and Australian financial services market. She will be involved in training and ongoing compliance work with our clients.
Kate can be contacted through her profile here: http://www.ccct.com.au/our-story/people/kate-humphries or by email here: kateh@ccct.com.au.
We're hiring
Do you know of any bright, practical and enthusiastic financial services lawyers (other than those lawyers that already work at Holley Nethercote!)? Point them to this ad: http://www.seek.com.au/job/28102931?pos=1&type=standard. We're looking for junior lawyers in Melbourne and Sydney and we'd love your suggestions.
About us (if you didn't already know)
As a reader of our blog, you may know that Compact provides regulatory training to banks, government regulators, financial planning dealer groups and most other sectors in the financial services industry, in Australia and overseas. It also manages large volumes of Australian Financial Services and Australian Credit licence applications and variations. It complements the related law firm Holley Nethercote which services a financial services and commercial client base, and often acts for businesses as Independent Expert or in a related role when licensees are subject to ASIC-mandated regulatory action, including enforceable undertakings.
