Experience

Findex

• Australia
• Financial Services
• 700 & Above Employee

• Head Of Risk Management and Compliance

  • Feb 2018 - Present

• Head of Risk Management

  • Jan 2015 - Feb 2018



CH Australia

• Accounting
• 200 - 300 Employee

• Group Risk and Compliance Manager

  • Sep 2011 - Jan 2015

  Group Risk & Compliance Manager located in Melbourne Responsible for the development and implementation of Enterprise Risk Management Framework and operational Risk Management FrameworkMember of the:- Group Licencee Compliance Committee - Group Quality Control & Risk Management Steering Committee - Service line Advisory Groups- Business unit Risk Management Committees Group Risk & Compliance Manager located in Melbourne Responsible for the development and implementation of Enterprise Risk Management Framework and operational Risk Management FrameworkMember of the:- Group Licencee Compliance Committee - Group Quality Control & Risk Management Steering Committee - Service line Advisory Groups- Business unit Risk Management Committees



WHK Group

• Group Compliance Manager

  • Dec 2006 - Sep 2011

  Group Compliance Manager role for 3 AFSL's and 1 ACL.* Policy Development and implementation* Training* Regulatory Compliance* Audits (licensee & representative) Role also included the following positions- Training Manager- AML/CTF Officer- Privacy OfficerIn total the role looked after approx 150 representatives, across the following service lines:- Corporate Finance - Lending & Finance (Retail lending)- Financial Planning- General InsuranceThe role required the following committee positions to be held:- Licencee Compliance Committee- Quality Control & Risk Committee



FW Holst & Co

• Compliance Manager

  • Nov 2005 - Dec 2006

  Oversee firms compliance with ASX trading rules. Maintain and implement Compliance Manual including reviews and training requirements. Oversee firms compliance with ASX trading rules. Maintain and implement Compliance Manual including reviews and training requirements.



Goldman Sachs

• United States
• Financial Services
• 700 & Above Employee

• Compliance Officer/Manager

  • 1997 - Nov 2005

  Held various roles originally with JBWere before merger with Goldman Sachs.Roles included Settlements, Stock Lending, Compliance Assistant, Compliance Officer & finally Compliance Manager looking after market supervision of Private Client Advisers, Institutional and Principal traders. Held various roles originally with JBWere before merger with Goldman Sachs.Roles included Settlements, Stock Lending, Compliance Assistant, Compliance Officer & finally Compliance Manager looking after market supervision of Private Client Advisers, Institutional and Principal traders.