Compliance Manager

• May 2021 - Present

Compliance Manager

• Sep 2019 - May 2021

AML/CFT Compliance Officer, Manager, writer of internal audit processes and policies.

Senior Compliance and Risk Advisor

• Jan 2019 - Sep 2019

In January 2019, I was promoted to the senior role to allow more autonomy, growth, professional development and management of junior staff.The Senior Compliance and Risk Advisor role carries the same responsibilities as Compliance and Risk Advisor, however formally introduces additional responsibilities, including:• Mentoring and guiding the Compliance and Risk Advisors, acting as the first point of contact for queries and assistance.• Acting as a first escalation point for ‘division of three’ items.• Conduct initial reviews of accreditation applications prior to review by management.• Taking ownership of team procedures and processes, including maintenance and managing team contributions to updates.• Drafting and ongoing monitoring of the annual inspection schedule.• Overseeing preparation of the team reporting.• Taking ownership of team projects.

Compliance and Risk Advisor

• Mar 2017 - Dec 2018

The Participant Compliance team sits within NZX Regulation and contributes to the overall quality of the markets offered by NZX by ensuring compliance with the NZX rules. Based in Wellington, the team has an important role in maintaining NZX’s relationship with market participants and engages with a wide variety of internal and external stakeholders.The role involved:• Assessing regulatory applications and making binding decisions.• Conducting investigations into conduct of market participants and determining compliance with NZX rules.• Reviewing market participant’s capital adequacy and periodic returns.• Building and maintaining relationships with market participants.• Assisting with drafting rule amendments.• Drafting guidance to assist market participants with the application and interpretation of NZX rules.• Preparing internal and external reporting for various stakeholders and oversight bodies.• Conducting annual inspections monitoring market participant’s compliance with NZX rules.• Training and inducting new starters.Key achievements:• Assisting with drafting of the revised NZX Participant rules (December 2017), and subsequent revisions.• Drafting of guidance relating to the application and interpretation of the NZX Participant rules.• Revision of existing regulatory decisions issued prior to December 2017 to ensure relevance to current rules and Guidance.• Leading the transition of over 400 NZX Advisors and NZX Associate Advisors following changes made in the December 2017 NZX Participant rules revision.• Designing and implementing the team case management system.• Designing and implementing new procedures, and revising existing procedures to ensure relevance.• Received internal award for Delivery 2018.• Nominated for Chairman’s Award 2018.

Analyst - EMEA PortRecs and Valuations

• Dec 2014 - Sep 2016

The EMEA Portfolio Reconciliations and Valuations team offers broad reporting and reconciliation functionality across the RBS PLC, RBS NV and NatWest brands. The team works primarily in the European, Middle Eastern and African (EMEA) markets, with supporting operations in the United States and Singapore. Product types include Foreign Exchange, Interest Rate Derivatives, Options and Money Market deposits.Key Responsibilities• Manage client queries and requests via telephone and email.• Production and delivery of valuation & audit statements as an after sales service and as a regulatory requirement.• Risk analysis - review and resolution of daily valuation & audit areas• Financial modelling of client valuations, whilst assessing their fx and other market variable positions• Updating database to ensure compliance with the European market regulations and investigation of non-compliant entities.• Dispute investigation and resolution relating to EMIR statements.• Liaising with internal and external clients and other stakeholders.• Ad hoc research and information compilationKey Achievements• European Market Infrastructure Regulation SubjectMatter Expert (SME) for the team.• Writingandreviewingreports and business operating procedure documents to meet internal compliance requirements.• Developed monthly compliance process and report for monthly trade data review.• Writing training material in readiness for business offshoring.• Training new staff and transitioning business processes to offshore office.• Data analysis and alignment as part of system development.

Payments and Settlements Officer

• Dec 2012 - May 2014

The Reserve Bank of New Zealand operates a Real-Time Settlement System called NZClear. NZClear currently has over 130 members - comprised of international banks, foreign central banks and custodians – and holds around NZ$92 billion worth of securities.The role involved:• Weekly, monthly, quarterly andannual reporting• Monitoring the ESAS and NZClear settlement systems• Setting up new securities within the NZClear system• Processing manual security transfers• Loading and matching trades on behalf of members• Handling client queries, e.g.: maturity or dividend dates, registry enquiries.• Setting up new member accounts• Procedure review and development• Corporate Actions

Collection Support Officer

• Feb 2011 - Nov 2012

Credit Consultants Group is a privately owned Debt Collection and Credit Management agency, operating in New Zealand and Australia. Clients include regional councils, telecommunications and utility providers and international banks as well as small businesses.The role involved:- Contacting debtors with complicated or high value debts, assigning debts to the call centre for calling.- Ensuring all necessary actions have been completed on older debts as per the Terms of Appointment specific to each client before closure or passive collection.- Actioning debts for trace or Field Visit and providing support to Client Liaison Officers as well as other teams such as the Legal team. Other duties include performing minor traces on debtors, dispute resolution for selected debts and performing other ad hoc duties when required.