John Schwartz is the Compliance Manager for Zenio Capital Limited. Since 1997, John has operated his own consultancy business providing compliance services to Australian financial services licence holders (AFSL holders). Those compliance services typically include ensuring that the AFSL operates within its licence obligations, Compliance Plan and Scheme Constitution. Under the compliance role, John is required to ensure the licence holder acts in the best interests of investors ahead of its own interests and in accordance with the requirements of the Corporations Act.
John has been involved in the financial services industry for over 40 years including employment with one of Australia’s largest banks. Within that bank, John undertook stints with the property finance unit which specialised in lending to property developers with large exposures to either profit share, joint venture or mortgage lending. John also performed roles in the bank’s credit bureau assessing property investment and business risk for medium and large businesses.
John’s roles for his clients include acting as a key person and responsible manager which require John to meet certain probity checks including meeting bankruptcy, insolvency and police checks prior to acceptance as a key person or responsible manager by ASIC.
John holds a Bachelor of Economics, a Bachelor of Commerce and a Master of Economics all from the University of Queensland together with a Securities Institute Authorisation.