Committee Member - Greenhithe Branch

• Jul 2022 - Present

General Manager

• May 2016 - Present

Manager, Capital Markets Disclosure - FMA

• Jan 2016 - May 2016

Manager, Supervision - FMA

• May 2014 - Jan 2016

This position was responsible for managing the day to day operations of the Supervision function within Compliance. The Supervision function monitors the conduct, competency and compliance of financial market participants such as brokers, custodians, financial advisers (AFAs and RFAs), AML/CFT reporting entities etc. Supervision also conducts the FMCA licence assessment and subsequent monitoring of QFEs, Derivative Issuers, DIMS and MIS providers and provides guidance to assist financial service providers in interpreting their relevant legal obligations under the financial markets legislation regulated by the FMA. The Supervision team has specific responsibility to monitor compliance with:- the Financial Advisers Act 2008 - the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014- the Anti-Money Laundering and Countering Financing of Terrorism Act 2009- the Financial Markets Conduct Act 2013 - and other Acts as set out under the Financial Markets Authority Act 2011My role involves the planning and execution of compliance monitoring engagements and ensuring the efficient and effective execution of the monitoring function. My role also includes FMCA licence assessments, providing technical guidance around interpretation and the management, training and development of my team.

Senior Manager

• Oct 2012 - May 2014

This role comprised the operational and strategical aspects of larger receiverships and liquidations. My role also included forensic accounting, investigations, financial analysis, fraud, risk and litigation support. My notable assignments in this role were South Canterbury Finance Limited, which was New Zealand's largest insolvency which I was engaged on for two years full time and the HIH Insurance group of companies, which were part of the largest corporate failure and fraud in Australia.

Manager

• Oct 2009 - Sep 2012

Senior Insolvency Administrator

• Dec 2003 - May 2009

This UK role comprised cradle to grave corporate insolvency work covering creditors and member’s liquidations and both trading and non-trading administrations and both business and LPA Receiverships. This UK role comprised cradle to grave corporate insolvency work covering creditors and member’s liquidations and both trading and non-trading administrations and both business and LPA Receiverships.

Insolvency Administrator

• Apr 2003 - Nov 2003

Debt Collection Officer

• Jan 2001 - Jan 2003

During my employment with the Inland Revenue I acquired experience and skills in a wide range of debt recovery and insolvency matters. During my employment with the Inland Revenue I acquired experience and skills in a wide range of debt recovery and insolvency matters.