Head of Risk and Compliance
Sam Morris is a highly experienced Compliance and Audit Consultant with over 19 years of experience in the financial planning industry. She started in the industry as a financial adviser before moving into compliance. She has worked as a Compliance, Training and Technical Manager for a financial services group that held two AFSLs and an accounting business. She worked with the financial services team at Mills Oakley, a national law firm, to lead the compliance offering to financial advice firms. Sam also has her own consultancy practice where she provides compliance and audit solutions to financial advisers and AFS Licensees.
Sam uses her knowledge of regulatory compliance to assist Licensees and financial advisers identify vulnerabilities and create corrective actions. She uses a collaborative and team-oriented approach to foster adviser relationships to promote quality and compliant financial advice.