Experience

Financial Services Council
• Australia
• Financial Services
• 1 - 100 Employee
• Senior Legal Counsel & Company Secretary

  • Oct 2017 - Present


Hannover Life Re of Australasia Ltd

• Compliance Manager

  • Jul 2016 - Aug 2017

  • responsible for management of the Company’s Compliance Program including implementation, monitoring and reporting • ongoing review & identification of statutory, regulatory and Company compliance obligations • reviewing, documenting & implementing appropriate compliance measures; • regular review of Compliance Framework as part of the annual Compliance Reporting process to Board Risk Committee with improvements implemented as appropriate; • providing advice to the Board Risk Committee, Executive and Senior Management on compliance issues • maintenance of Incidents Register, including assessing severity (eg breach, significant breach, complaint) and oversee remedying any issue; (including escalation if necessary); • assist with the development of training in relation to compliance issues; Show less



Regis Mutual Management Pty Ltd

• Australia
• Insurance
• 1 - 100 Employee

• General Counsel & Company Secretary

  • Nov 2009 - Apr 2014

  Managing the legal,company secretarial and compliance areas for Regis, an outsourced manager of mutuals providing risk management products to members which include a mutual involving a large number of Australian Universities. Managing the legal,company secretarial and compliance areas for Regis, an outsourced manager of mutuals providing risk management products to members which include a mutual involving a large number of Australian Universities.



Elderslie Finance Corporation Limiteda

• General Counsel Company Secretary & Compliance Manager

  • Apr 2004 - Sep 2008

  My responsibilities included providing the legal, company secretarial and compliance services to Elderslie which offered property managed fund investments, leasing finance and managed other special purpose companies eg IT software. My responsibilities included providing the legal, company secretarial and compliance services to Elderslie which offered property managed fund investments, leasing finance and managed other special purpose companies eg IT software.



Trust Company Limited

• South Africa

• Corporate Solicitor & Assistant Company Secretary

  • Jun 2001 - Feb 2004

  My responsibilities were to provide a wide range of legal and secretarial services in support of the different trustee services offered by the company, including in relation to managed funds, superannuation and trusts generally. My responsibilities were to provide a wide range of legal and secretarial services in support of the different trustee services offered by the company, including in relation to managed funds, superannuation and trusts generally.



Charles Schwab

• United States
• Financial Services
• 700 & Above Employee

• Head of Legal and Company Secretary

  • Jul 2000 - May 2001

  Sole legal, compliance and company secretarial advisor to a subsidiary of a major US stockbroking company as a greenfield company coming to Australia. This required me to set up the infrastructure for these areas as well as to assist in the development of new products to the Australian market. Sole legal, compliance and company secretarial advisor to a subsidiary of a major US stockbroking company as a greenfield company coming to Australia. This required me to set up the infrastructure for these areas as well as to assist in the development of new products to the Australian market.



EnergyAustralia

• Australia
• Utilities
• 700 & Above Employee

• Senior Legal Counsel & Manager of Contract Services

  • May 1999 - Apr 2000

  I managed a team of 6 in the contract services department responsible for all retail contracts to consumers. I managed a team of 6 in the contract services department responsible for all retail contracts to consumers.



Marsh & McLennan Companies, Inc.

• Company Secretary & Principal Corporate Counsel

  • Nov 1997 - Apr 1999

  Provided general legal, compliance and secretarial advice to a subsidiary of a large US insurance broker business. Provided general legal, compliance and secretarial advice to a subsidiary of a large US insurance broker business.



ASX

• Australia
• Financial Services
• 700 & Above Employee

• Company Secretary & Corporate Solicitor

  • Oct 1989 - Nov 1997

  As company secretary I provided general support for group companies and was the founding company secretary for the ASX company that developed and now operates the electronic settlement system known as CHESS. As corporate solicitor I provided a large range of advice including commercial drafting, Corporations law, changing ASX rules and IT. As company secretary I provided general support for group companies and was the founding company secretary for the ASX company that developed and now operates the electronic settlement system known as CHESS. As corporate solicitor I provided a large range of advice including commercial drafting, Corporations law, changing ASX rules and IT.