KYC Transformation Director

• Jan 2022 - Present

Head of Client Onboarding KYC/AML

• Nov 2017 - Jan 2022

Senior Manager - Middle Office Services

• Oct 2016 - Nov 2017

Head of Client Onboarding ANZ

• Aug 2015 - Oct 2016

Manage a team of 15 Onboarding analysts whom complete all KYC and Client Due Diligence requests for all business functions across the bank. These include the IBD, Equities, FRC, Structured Products and Retail businesses; Act as point of escalation and proactively engage all stakeholders on the team’s capacity and prioritisation of all KYC requests. This involves daily discussions with the various business managers regarding details of certain requests inline with the UBS CIP (Client… Show more Manage a team of 15 Onboarding analysts whom complete all KYC and Client Due Diligence requests for all business functions across the bank. These include the IBD, Equities, FRC, Structured Products and Retail businesses; Act as point of escalation and proactively engage all stakeholders on the team’s capacity and prioritisation of all KYC requests. This involves daily discussions with the various business managers regarding details of certain requests inline with the UBS CIP (Client Identification Program) and the urgency of their requirements; Ultimately responsible for the strategic direction of the team, mentoring of staff, cross training initiatives and support the development of all team members through the sponsorship of training courses as well as providing them with fortnightly updates on their performance; Managing several professional relationships internally which include the Front Office, Sales Trading, Legal and Compliance, Credit Risk and Operations teams in Brisbane, Melbourne, and Singapore to better understand client/deal structure and agree requirements/responsibilities; Location head representing the Australian Onboarding team on all regional and global forums regarding group policy updates, CIP amendments and management briefings. Interact with process partners to drive and facilitate the AML/KYC review process whilst managing process standardization and improvement discussions with Global Client On-boarding Teams and other process partners; Manage the pipeline of process improvements in areas of efficiency, control, and work quality. This involves the involvement of a number of Ad-hoc requests and project support responsibilities.

Corporate Actions Manager

• Sep 2013 - Aug 2015

Effectively manage all mandatory and voluntary Domestic and International Corporate Events across the IB and WM businesses; Manage the daily interpretation, monitoring, scrubbing, and notification of corporate action events as well as the reconcilement, monitoring, and posting of entitlements to client accounts; Responsible for ensuring that daily reconciliations for cash, security, and suspense transactions are carried out in adherence the established quality control measures… Show more Effectively manage all mandatory and voluntary Domestic and International Corporate Events across the IB and WM businesses; Manage the daily interpretation, monitoring, scrubbing, and notification of corporate action events as well as the reconcilement, monitoring, and posting of entitlements to client accounts; Responsible for ensuring that daily reconciliations for cash, security, and suspense transactions are carried out in adherence the established quality control measures and procedures. Proactively engage major stakeholders on major Corporate events and ensure that all large scale Corporate events are effectively executed, this includes clients/Investment Managers, sub-custodians, depositories, agents, brokers, and other internal business groups including the Securities Lending team;

Senior Client Services Manager (Execution and Clearing Services - ECS)

• Aug 2009 - Dec 2013

Manage a number of strategic client relationships for the bank which included a number of large national advisory firms. This included business strategy and model, trading patterns, key clients and their requirements. Managed a team of 5 account managers and was responsible for the up skilling of all staff via internal and external training courses. Responsible for the creation of a client profile database of each intermediary, including key personnel, key clients, specialised… Show more Manage a number of strategic client relationships for the bank which included a number of large national advisory firms. This included business strategy and model, trading patterns, key clients and their requirements. Managed a team of 5 account managers and was responsible for the up skilling of all staff via internal and external training courses. Responsible for the creation of a client profile database of each intermediary, including key personnel, key clients, specialised systems requirements, etc. This database was integral to the business whom were able to review client profiles whilst keeping abreast of all current client issues. Subject Matter Expert (SME) and part of the implementation team that was responsible for the introduction of an in-house onboarding tool utilised by all intermediaries across Australia and New Zealand. This involved the creation of a successful workflow tool that streamlined and improved the onboarding experience of new retail accounts for both intermediaries and the UBS Onboarding, AML, Compliance and Legal departments. Responsible for the delivery of all monthly invoices and rebates to the respective intermediaries whilst continually working closely with the vendor to improve the product and process. A perfect example is the fact that we were able to deliver invoices and rebates to within 1 business day post month end.

Equity Derivatives Assistant Manager

• Feb 2008 - Aug 2009

Supported the IB Equity Derivatives Desk and UBS Wealth Management Client advisors through the life-cycle of all Strucutred products offered to Retail Investors; Coordinated the annual EOFY process for all Retail Investment Loan products which had a cumulative loan size of $500 million. During the June period especially i was positioned on the trading floor as the Ops contact for all Front Office queries which i filtered through to the team; Managed all client correspondence and… Show more Supported the IB Equity Derivatives Desk and UBS Wealth Management Client advisors through the life-cycle of all Strucutred products offered to Retail Investors; Coordinated the annual EOFY process for all Retail Investment Loan products which had a cumulative loan size of $500 million. During the June period especially i was positioned on the trading floor as the Ops contact for all Front Office queries which i filtered through to the team; Managed all client correspondence and notifications to the approximate 5,000 clients, the multiple interest collections and daily reconciliations which were integral to the success of the department; Played an integral role in the creation of a single payment processing application - Surf, worked closely with I.T, Compliance, BUC and the Front Office to achieve its successful delivery and implementation;

Credit Derivative Middle Office

• Jan 2007 - Jan 2008

Maintenance of high levels of client interaction and management of confirmations whilst ensuring top-level internal and external client service at all times; Retrieval and checking of ISDA documentation coupled with electronic matching via the DTCC platform, administering defined procedures, report preparation and exception processing and clearance; Implementation of Fed targets via the accurate delivery and retrieval of all CDS client confirmations; Communication of… Show more Maintenance of high levels of client interaction and management of confirmations whilst ensuring top-level internal and external client service at all times; Retrieval and checking of ISDA documentation coupled with electronic matching via the DTCC platform, administering defined procedures, report preparation and exception processing and clearance; Implementation of Fed targets via the accurate delivery and retrieval of all CDS client confirmations; Communication of existing and new ISDA documentation and definitions to all clients; Use of DTCC DerivServ matching tool to confirm all CDS trades;

Settlements and Investigations Analyst

• Apr 2005 - Jan 2007

Deal with all incoming corporate client enquiries related to FX/MM payments or non receipt of funds. Reconciliation and investigation of any FX/MM cash exceptions that have not been reconciled by Citigroup auto matching system. Post settlement of FX/MM trades that have for a number of reasons not settled on agreed value day. Daily duties involve extensive use of a number of software programs such Pega Reach, Recon Frontier, TAPS, Trestel, OpenMail and Flexcube which aid in… Show more Deal with all incoming corporate client enquiries related to FX/MM payments or non receipt of funds. Reconciliation and investigation of any FX/MM cash exceptions that have not been reconciled by Citigroup auto matching system. Post settlement of FX/MM trades that have for a number of reasons not settled on agreed value day. Daily duties involve extensive use of a number of software programs such Pega Reach, Recon Frontier, TAPS, Trestel, OpenMail and Flexcube which aid in the efficiency and delivery of accurate information to corporate clients. Utilization of the SWIFT messaging system. Liaison with FX Operations utilities and Front Office representatives to resolve exceptions resulting from internal errors. Operational corrective action taken to resolve future occurrence. Resolution of all issues within a timely manner, making payments across client accounts held with Citigroup and external accounts. Monthly-end review of risk currencies that require revaluation within month. Maintain strong professional relationships with all clients, internal and external, whilst maintaining high level of customer service. Show less Deal with all incoming corporate client enquiries related to FX/MM payments or non receipt of funds. Reconciliation and investigation of any FX/MM cash exceptions that have not been reconciled by Citigroup auto matching system. Post settlement of FX/MM trades that have for a number of reasons not settled on agreed value day. Daily duties involve extensive use of a number of software programs such Pega Reach, Recon Frontier, TAPS, Trestel, OpenMail and Flexcube which aid in… Show more Deal with all incoming corporate client enquiries related to FX/MM payments or non receipt of funds. Reconciliation and investigation of any FX/MM cash exceptions that have not been reconciled by Citigroup auto matching system. Post settlement of FX/MM trades that have for a number of reasons not settled on agreed value day. Daily duties involve extensive use of a number of software programs such Pega Reach, Recon Frontier, TAPS, Trestel, OpenMail and Flexcube which aid in the efficiency and delivery of accurate information to corporate clients. Utilization of the SWIFT messaging system. Liaison with FX Operations utilities and Front Office representatives to resolve exceptions resulting from internal errors. Operational corrective action taken to resolve future occurrence. Resolution of all issues within a timely manner, making payments across client accounts held with Citigroup and external accounts. Monthly-end review of risk currencies that require revaluation within month. Maintain strong professional relationships with all clients, internal and external, whilst maintaining high level of customer service. Show less