Experience

First Sentier Investors

• Australia
• Investment Management
• 400 - 500 Employee

• Senior Manager Financial Crime

  • Apr 2023 - Present



Independent Consultant

• Financial Crime Specialist

  • Oct 2019 - Feb 2023

  Greater Sydney Area Clients include: Westpac AMP Life Bendigo and Adelaide Bank ING Assisting in strengthening the management of Financial Crimes risks and compliance obligations, whilst mitigating and reducing these risks across business.



Commonwealth Bank

• Australia
• Financial Services
• 700 & Above Employee

• Executive

  • Jan 2018 - Oct 2019

  Sydney, Australia The Program of Action will strengthen the management of Financial Crimes risks and compliance obligations, whilst mitigating and reducing these risks across the business.



Westpac Group

• Australia
• Financial Services
• 700 & Above Employee

• Compliance Specialist

  • Jul 2016 - Jan 2018

  Sydney, Australia Contracting within: Specialised Finance - 1LOD Compliance BT - 2LOD Core Compliance



Macquarie Group

• Australia
• Financial Services
• 700 & Above Employee

• Risk Management Group - Associate Director

  • Mar 2014 - Jul 2016

  Sydney, Australia Partnering with BFS retail businesses (Credit Cards, Savings and Transactions, Mortgages, Wealth products and platforms) by providing Financial Crime Compliance advisory services. A key focus was on developing process and system solutions to strengthen the control environment whilst containing costs. Responsibilities include: o AML/CTF risk assessments o Regulatory Change – interpretation and implementation of AML/CTF Rules following the 2014 amendments o New products… Show more Partnering with BFS retail businesses (Credit Cards, Savings and Transactions, Mortgages, Wealth products and platforms) by providing Financial Crime Compliance advisory services. A key focus was on developing process and system solutions to strengthen the control environment whilst containing costs. Responsibilities include: o AML/CTF risk assessments o Regulatory Change – interpretation and implementation of AML/CTF Rules following the 2014 amendments o New products and white labelled products o Management of High Risk Clients and ECDD o Financial Crime Compliance, AML and Key Risk Role Training o Extensive knowledge of Transaction Monitoring framework and rules tuning.

• Risk Management Group - Associate Director

  • Mar 2010 - Mar 2014

  Sydney, Australia • Develop and execute the global AML Assurance program, assessing Macquarie’s level of compliance with its AML/CTF and Economic Sanctions obligations. • Drive a culture of continual improvement and global consistency. • Strong understanding of local AML/CTF obligations for the APAC region, including diverse jurisdictions such as Australia, Singapore, Hong Kong, Taiwan, Philippines, Malaysia, China and Japan. • Instigated assurance testing of the United Kingdom and the United… Show more • Develop and execute the global AML Assurance program, assessing Macquarie’s level of compliance with its AML/CTF and Economic Sanctions obligations. • Drive a culture of continual improvement and global consistency. • Strong understanding of local AML/CTF obligations for the APAC region, including diverse jurisdictions such as Australia, Singapore, Hong Kong, Taiwan, Philippines, Malaysia, China and Japan. • Instigated assurance testing of the United Kingdom and the United States. • Facilitate sharing of AML knowledge and awareness.



PwC Australia

• Australia
• Business Consulting and Services
• 700 & Above Employee

• Senior Manager

  • Jul 2008 - Dec 2009

  Sydney, Australia • Provided AML specific consulting services to leading Australian financial institutions including reviews of: o Annual AML programs and AML frameworks o Operational procedures for efficiency and regulatory compliance o Governance and oversight o AML/CTF training development



Goldman Sachs

• United States
• Financial Services
• 700 & Above Employee

• Executive Director (Vice President)

  • Sep 2005 - Jun 2008

  London, United Kingdom • Surveillance of securities lending trading activities and compliance of Prime Brokerage trade files. • Assessed risk and compliance impact of new business ventures on behalf of the division. • Monitored changes to rules and regulations and ensured changes were appropriately communicated and implemented within business units. • Provided advisory services to the Prime Brokerage and Sec Lending business units. • Identified and developed required surveillance… Show more • Surveillance of securities lending trading activities and compliance of Prime Brokerage trade files. • Assessed risk and compliance impact of new business ventures on behalf of the division. • Monitored changes to rules and regulations and ensured changes were appropriately communicated and implemented within business units. • Provided advisory services to the Prime Brokerage and Sec Lending business units. • Identified and developed required surveillance procedures. • Developed and updated internal compliance procedures. • Provided comprehensive compliance training for new and existing personnel.

• Associate

  • Mar 2004 - Sep 2005

  London, United Kingdom • Oversight of the client on-boarding process, including supervision of eight analysts. • Ensured that systematic controls were in place to safeguard the firm from financial and reputational risks associated with new client relationships. • Solid understanding of FSA rules and regulations in terms of Anti-Money Laundering and Know Your Client requirements. • Impeccable client relationship management skills and the ability to handle highly pressurised situations. • Drove initiatives… Show more • Oversight of the client on-boarding process, including supervision of eight analysts. • Ensured that systematic controls were in place to safeguard the firm from financial and reputational risks associated with new client relationships. • Solid understanding of FSA rules and regulations in terms of Anti-Money Laundering and Know Your Client requirements. • Impeccable client relationship management skills and the ability to handle highly pressurised situations. • Drove initiatives for process improvement including implementing global processes to address risks and regulatory inconsistencies.

• Client Profitability & Metrics

  • Dec 2002 - Mar 2004

  London, United Kingdom • Conducted extensive analysis on execution, clearing and client settlement fees and their impacts on group and client profitability. • Advanced knowledge on settlements and client trading processes and fees in European markets.

• Corporate Services (Business Development)

  • Dec 2001 - Nov 2002

  London, United Kingdom • Project leader for global development and relaunch of Goldman Sachs’ internal communications website – CS Insite.