Brian Dovel

Protection Officer at Infraworks
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Contact Information
us****@****om
(386) 825-5501
Location
Greater Sydney Area, AU

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Credentials

  • TAE 40116 Certificate IV in Training and Assessment
    Pinnacle Safety and Training
    Oct, 2021
    - Nov, 2024
  • Certified Anti-Money Laundering Specialist
    ACAMS
    Sep, 2014
    - Nov, 2024
  • Handsignaller I/II
    Sydney Trains
  • Protection Officer 3
    Sydney Trains
  • Series 4 Registered Options Principle, Series 24 General Securities Principle, Series 8 (9&10) General Securities Sales Supervisor, Series 14 NYSE Compliance Official.
    Financial Industry Regulatory Authority (FINRA)
  • Series 7 & 63 General Securities Representative, Series 65 Registered Investment Advisor, Series 3 National Commodity Futures Examination, Series 55 Equity Trader
    Financial Industry Regulatory Authority (FINRA)

Experience

  • Infraworks
    • Australia
    • Manufacturing
    • 1 - 100 Employee
    • Protection Officer
      • Jul 2019 - Present

      Protection Officer 3, Handsignaller 2, ME161 Power Out Holder; Sydney Trains and Metro Trains Sydney Protection Officer 3, Handsignaller 2, ME161 Power Out Holder; Sydney Trains and Metro Trains Sydney

  • Citi
    • United States
    • Financial Services
    • 700 & Above Employee
    • Vice President, Compliance Testing
      • Apr 2012 - Apr 2016

      Plan, design and execute a Compliance Testing Plan across retail and institutional businesses. • Manage a team of direct reports responsible for execution of the Compliance Testing Plan in Australia and New Zealand. • Establish effective and optimal bespoke Test Plans for businesses and products by ensuring that the Compliance Testing (CT) Test Plans are risk based per the CT Operating Model, cover key risk areas/trends, and are based on inputs from the Business Seniors, Regional and Global Compliance/Control and Product Compliance/Control Seniors. • Design Test Plans to evaluate compliance with internal and external rules and requirements (for example AML, NCCP, ASIC MIR, Privacy and super-jurisdictional requirements such as FCPA). • Monitor Test Plan progress, test results and observations, adequacy of controls, and Corrective Action Plan (CAP) management ensuring that CAPs adequately address the issues/risks and are resolved timely. • Proactively identify emerging control concerns and risk areas and/or trends, escalate to appropriate seniors for appropriate actions, provide recommendations as needed, and initiate Testing if required. • Lead &/or participate in Regional (APAC) Compliance/Control reviews and discussions, including planning/scoping of review and execution of the test program, CAP review and validation and formal report issuances/publications. Show less

  • Morgan Stanley
    • United States
    • Financial Services
    • 700 & Above Employee
    • Vice President, Regional Compliance Testing Coordinator (APAC)
      • Sep 2010 - Feb 2012

      Plan, design and implement testing programmes across the Asia Pacific region.• Conduct Branch Examinations of retail brokerage and private wealth management offices; targeted assessments and non-branch reviews across retail and institutional business lines in the Asia Pacific region.• Identify key controls and design tests to determine if key controls are operating effectively.• Coordinate and standardize testing procedures across the Asia Pacific region in line with global standards. Show less

    • Vice President, Head of Private Wealth Management Compliance
      • Oct 2009 - Sep 2010

      Manage a team three Compliance Professionals responsible for compliance coverage of Hong Kong and Singapore Private Wealth (UHNW) branch offices.• Review, draft and update compliance policies and maintain compliance and supervision manuals for Asia Pacific Private Wealth offices.• Supervise ongoing compliance surveillance and targeted reviews for the Asia Pacific Private Wealth offices.• Coordinate with business unit heads to identify business friendly alternatives while maintaining an effective control environment. Show less

    • Vice President, Branch Examinations Supervisor
      • May 2005 - Oct 2009

      Manage a team of six Compliance Branch Examiners who, along with three other examiner teams conduct annual branch examinations for approximately 600 Global Wealth Management branch locations.• Supervise Compliance Branch Examiners including ongoing work product review, performance evaluation, training and development.• Draft, edit and coordinate exam process from branch response through report issuance.• Coordinate implementation of Exam Program for current year including scheduling and annual updates.• Regular and ongoing communication with senior management in the Global Wealth Management branch network.• Projects include inter-departmental review of operational efficiency, presentations to other departments, conflict of interest studies for Financial Holding Company status, harmonization of policies and procedures for Morgan Stanley Smith Barney Joint Venture Show less

  • WACHOVIA SECURITIES
    • United States
    • Financial Services
    • 1 - 100 Employee
    • Senior Compliance Officer, Team Leader (AVP) – Retail Compliance
      • Dec 2001 - May 2005

      Supervision of a regional team of Compliance Officers. • Active surveillance of branch activities to ensure compliance with firm and regulatory requirements • Conduct annual internal compliance reviews throughout the country across multiple business channels • Act as a resource for branch personnel on all compliance issues • Consult Branch Managers to ensure their understanding of current firm and regulatory requirements • Projects include development of audit modules and databases Show less

  • TD Ameritrade
    • United States
    • Financial Services
    • 700 & Above Employee
    • Assistant Manager (AVP)
      • Nov 1999 - Jul 2001

      Manage a call center and electronic order processing team. • Train associates on products and services plus industry mechanics and regulations. • Manage human resource issues including evaluations, reviews, coaching and disciplinary matters. • Responsibilities include operations, margin, risk management, project management, mutual funds, retirement plans, customer service, and electronic order entry platforms. Trained over 100 brokers in classroom setting, small groups, as well as on an individual basis.• Initiated and implemented programs for increasing associate customer service skills as well as adherence to call centre performance parameters.• Developed firm-wide policy and procedures for operating during system outages, and created training program for same.• Initiated cross training program to expose associates to different business groups within firm.• Utilized Lucent software to leverage technology in the process of monitoring and evaluating call centre associates. Show less

    • Team Leader – Mutual Funds
      • Sep 1999 - Nov 1999

      Responsible for training of Mutual Fund Associates in areas of margin, options, and customer service skills.

    • Risk Management Associate
      • Jul 1999 - Sep 1999

      Monitor customer accounts for margin risk – Initiate and close out margin calls.

    • Account Officer – Registered Broker
      • Oct 1998 - Jul 1999

      Assist walk in customers with deposit, transaction, and account maintenance.

    • Broker Trainee
      • Jul 1998 - Oct 1998

      Provided clerical and administrative support to Account Officers while responding to customer inquiries for securities quotes and account information.

Education

  • Kaplan University
    Master of Business Administration (MBA), 4.0 GPA
    2009 - 2011
  • University of Illinois at Chicago
    Bachelor of Arts (B.A.), Political Science
    1987 - 1991

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