Experience

Natixis Australia Pty Limited

• Head Of Compliance

  • Dec 2020 - Present

  Head of Compliance for Natixis Australia Pty Limited (NAPL), responsible for all compliance matters relating Natixis Australia and for coordinating with regional and global compliance offices on relevant Compliance topics. Setting the direction and strategy of the compliance function in collaboration with local and regional management, manage compliance risk and help to maintain a strong compliance culture throughout the firm. That includes:  Provide advice to local and regional… Show more Head of Compliance for Natixis Australia Pty Limited (NAPL), responsible for all compliance matters relating Natixis Australia and for coordinating with regional and global compliance offices on relevant Compliance topics. Setting the direction and strategy of the compliance function in collaboration with local and regional management, manage compliance risk and help to maintain a strong compliance culture throughout the firm. That includes:  Provide advice to local and regional senior management, Natixis group entities and head office, on compliance related issues;  Coordinate with Regional Compliance with respect to key projects and initiatives and ensure that local views and needs are addressed.  Managing the relationship with the Regulators;  Support the development of compliance strategy for onshore & offshore Natixis business units;  Member of NAPL Management Committee. Show less Head of Compliance for Natixis Australia Pty Limited (NAPL), responsible for all compliance matters relating Natixis Australia and for coordinating with regional and global compliance offices on relevant Compliance topics. Setting the direction and strategy of the compliance function in collaboration with local and regional management, manage compliance risk and help to maintain a strong compliance culture throughout the firm. That includes:  Provide advice to local and regional… Show more Head of Compliance for Natixis Australia Pty Limited (NAPL), responsible for all compliance matters relating Natixis Australia and for coordinating with regional and global compliance offices on relevant Compliance topics. Setting the direction and strategy of the compliance function in collaboration with local and regional management, manage compliance risk and help to maintain a strong compliance culture throughout the firm. That includes:  Provide advice to local and regional senior management, Natixis group entities and head office, on compliance related issues;  Coordinate with Regional Compliance with respect to key projects and initiatives and ensure that local views and needs are addressed.  Managing the relationship with the Regulators;  Support the development of compliance strategy for onshore & offshore Natixis business units;  Member of NAPL Management Committee. Show less



HSBC

• United Kingdom
• Financial Services
• 700 & Above Employee

• Director, Institutional Client Group, Global Banking and Markets

  • Sep 2016 - Nov 2020

  Institutional Client Group (‘ICG’) Coverage Banking comprises of Client Coverage teams that are product agnostic and responsible for delivering corporate and investment banking services to clients with a view to implementing the HSBC Group Strategy as well as meeting clients’ banking requirement based upon relationship built with each client under Global Banking and Markets (“GBM”). This relationship management function is responsible for driving growth and profitability of each… Show more Institutional Client Group (‘ICG’) Coverage Banking comprises of Client Coverage teams that are product agnostic and responsible for delivering corporate and investment banking services to clients with a view to implementing the HSBC Group Strategy as well as meeting clients’ banking requirement based upon relationship built with each client under Global Banking and Markets (“GBM”). This relationship management function is responsible for driving growth and profitability of each client on a risk adjusted basis, while ensuring that Banking Markets operates within any capital constraints imposed by GBM, individual legal entities, the broader HSBC Group, and any regulatory requirements.

• RM, Hedge Fund Coverage

  • Nov 2013 - Nov 2020

  The FIG RM team is responsible for the Global & Regional priority HF relationships within Asia. Our team supports & cross sells all of HSBC Group's products and services; Global Markets (FX, Rates, Equities, Prime), Custody / Administration, Structured Finance etc. We are also responsible for the Risk, Compliance, Credit and Legal processes. Each client relationship requires a Global Relationship Banker who has accountability for its risks to the Bank. These risks include, but are not… Show more The FIG RM team is responsible for the Global & Regional priority HF relationships within Asia. Our team supports & cross sells all of HSBC Group's products and services; Global Markets (FX, Rates, Equities, Prime), Custody / Administration, Structured Finance etc. We are also responsible for the Risk, Compliance, Credit and Legal processes. Each client relationship requires a Global Relationship Banker who has accountability for its risks to the Bank. These risks include, but are not limited to, credit risk, operational risk and financial crime (Fraud and AML) risk. RMs are ultimately responsible for understanding and developing the client relationship. Driving client profitability (origination and organic), conducting client planning, DD & KYC, risk management and providing senior management reporting. Key to the RMs’ success is their ability to develop a strong understanding of the client, their business (including their strategy and challenges) and their relationship with HSBC. This relationship should be across the C-Suite level at the client (i.e. CEO, CIO, COO, CFO).

• Account Manager, Prime Services

  • Jun 2011 - Nov 2013

  The Relationship Manager within Prime Services is an integral part of the Equities platform and is responsible for developing the relationship between the client and the Bank: driving organic growth across the firm and for protecting wallet share. As the principle point of contact the RM must have an in depth knowledge of the client including their strategy, AUM, performance and suite of trading products used in order to identify gaps and opportunities. Tasks include quarterly account reviews… Show more The Relationship Manager within Prime Services is an integral part of the Equities platform and is responsible for developing the relationship between the client and the Bank: driving organic growth across the firm and for protecting wallet share. As the principle point of contact the RM must have an in depth knowledge of the client including their strategy, AUM, performance and suite of trading products used in order to identify gaps and opportunities. Tasks include quarterly account reviews, client meetings, risk management and margin assessment, pricing & negotiation of PB documentation, day-to-day queries, senior management updates, cross selling and referrals to desks within & outside of Prime Services. The RM requires a good working knowledge of all products & the markets in which they are offered, market regulations and understanding of all areas of the Investment Bank. Prime Services offers a global service and the RM is responsible to cross border management of the business and the relationship internally and externally.



Credit Suisse (Hong Kong) Limited

• Associate, Prime Services

  • May 2008 - Apr 2011

  The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with clients externally and… Show more The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with clients externally and internally with Prime Brokerage Sales, Capital Introduction, Risk, Margin, Operations, IT, Transition/On boarding as well as other external service providers to Hedge Funds such as Administrators. Show less The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with clients externally and… Show more The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with clients externally and internally with Prime Brokerage Sales, Capital Introduction, Risk, Margin, Operations, IT, Transition/On boarding as well as other external service providers to Hedge Funds such as Administrators. Show less



UBS Investment Bank

• Investment Banking
• 1 - 100 Employee

• Compliance officer / Prime Services Account Manager

  • Nov 2005 - May 2008

  Prime Services - Account Manager The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with… Show more Prime Services - Account Manager The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with clients externally and internally with Prime Brokerage Sales, Capital Introduction, Risk, Margin, Operations, IT, Transition/On boarding as well as other external service providers to Hedge Funds such as Administrators. Legal & Compliance - Associate Director Compliance Officer – Equities Advisory / Regional Shareholding Monitoring & Disclosure (Associate Director) • Support IBD Equities by providing training & consultation in the APAC region across all business functions. • Conduct surveillance of cash and ETD markets inline with regulatory and internal requirements. • Implement independent control processes that are designed to detect and prevent potential violations of applicable laws, regulations and firm policies, and where possible to highlight areas of business risk for further inquiry. APAC Regional Head of UBS Group Shareholder Reporting Program (‘GSP’): The GSP program is designed to discharge UBS’ global obligations for reporting its aggregated shareholdings in accordance with regulatory and legal requirements in all relevant jurisdictions and across all Business Groups. • Managed the Asia GSP team (4) & coordinate with the regional Heads of Compliance for Japan, ANZ & Asia. • Represent APAC hub in global MRC & Operating Committee meetings reporting to the global head of GSP. • Monitoring of UBS AG positions to comply with regulatory reporting requirements in the APAC region. • Develop an automated monitoring system for all bank reportable positions. Show less Prime Services - Account Manager The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with… Show more Prime Services - Account Manager The Account Management Team provides a broad range of services to Hedge Fund clients including financing, stock loan, clearing and settlement, custody, asset servicing, business consultancy and capital introduction. It is the AM’s job to co-ordinate the provision of the above services with a particular focus on transaction processing and operational efficiency of the Prime Broker/Hedge Fund relationship. The AM interacts very heavily throughout the day with clients externally and internally with Prime Brokerage Sales, Capital Introduction, Risk, Margin, Operations, IT, Transition/On boarding as well as other external service providers to Hedge Funds such as Administrators. Legal & Compliance - Associate Director Compliance Officer – Equities Advisory / Regional Shareholding Monitoring & Disclosure (Associate Director) • Support IBD Equities by providing training & consultation in the APAC region across all business functions. • Conduct surveillance of cash and ETD markets inline with regulatory and internal requirements. • Implement independent control processes that are designed to detect and prevent potential violations of applicable laws, regulations and firm policies, and where possible to highlight areas of business risk for further inquiry. APAC Regional Head of UBS Group Shareholder Reporting Program (‘GSP’): The GSP program is designed to discharge UBS’ global obligations for reporting its aggregated shareholdings in accordance with regulatory and legal requirements in all relevant jurisdictions and across all Business Groups. • Managed the Asia GSP team (4) & coordinate with the regional Heads of Compliance for Japan, ANZ & Asia. • Represent APAC hub in global MRC & Operating Committee meetings reporting to the global head of GSP. • Monitoring of UBS AG positions to comply with regulatory reporting requirements in the APAC region. • Develop an automated monitoring system for all bank reportable positions. Show less



CITIGROUP WEALTH ADVSORS PTY LTD

• Compliance Officer: Private Clients Group Australia (PCG)

  • May 2004 - Nov 2005

  • Provide advisory /consultation support to the business (Retail/Margin Lending/Advisory Services/Financial Planning/International/Exchange Traded Options/Private Bank). Queries range from ASX Market Rules / Corporation Act / Deceased Estate inquiries / Marketing approvals / General Account opening etc • Surveillance and review activities across all processes within Smith Barney (front, middle and back office) • Implementation of the Anti-Money Laundering Program within PCG • Gap… Show more • Provide advisory /consultation support to the business (Retail/Margin Lending/Advisory Services/Financial Planning/International/Exchange Traded Options/Private Bank). Queries range from ASX Market Rules / Corporation Act / Deceased Estate inquiries / Marketing approvals / General Account opening etc • Surveillance and review activities across all processes within Smith Barney (front, middle and back office) • Implementation of the Anti-Money Laundering Program within PCG • Gap analysis and Regulatory Matrix development to meet internal / external audit and RCSA requirements. • Policy and procedure development. Conducting Branch Examinations – nationally each quarter. Show less • Provide advisory /consultation support to the business (Retail/Margin Lending/Advisory Services/Financial Planning/International/Exchange Traded Options/Private Bank). Queries range from ASX Market Rules / Corporation Act / Deceased Estate inquiries / Marketing approvals / General Account opening etc • Surveillance and review activities across all processes within Smith Barney (front, middle and back office) • Implementation of the Anti-Money Laundering Program within PCG • Gap… Show more • Provide advisory /consultation support to the business (Retail/Margin Lending/Advisory Services/Financial Planning/International/Exchange Traded Options/Private Bank). Queries range from ASX Market Rules / Corporation Act / Deceased Estate inquiries / Marketing approvals / General Account opening etc • Surveillance and review activities across all processes within Smith Barney (front, middle and back office) • Implementation of the Anti-Money Laundering Program within PCG • Gap analysis and Regulatory Matrix development to meet internal / external audit and RCSA requirements. • Policy and procedure development. Conducting Branch Examinations – nationally each quarter. Show less



E*TRADE Australia

• Trading Representative

  • Aug 2000 - Feb 2002

  Execute client orders, client inquiries and transaction requests for E*Trade's high volume trading clients. Execute client orders, client inquiries and transaction requests for E*Trade's high volume trading clients.