Experience

ThinkMarkets

• United States
• Financial Services
• 100 - 200 Employee

• Senior Compliance Analyst

  • Sep 2021 - Present

  Melbourne, Victoria, Australia - Implement and maintain various policies, procedures, and controls reflecting the business’ regulatory and conduct obligations - Manage the Australian Compliance frameworks and conduct sample checks on chats, tickets, account approval, and other communications between staff and clients - Keep abreast of current business developments and regulatory issues - Assist in proofing, and submitting updated licence applications to ASIC along with annual, quarterly, and event driven disclosure… Show more - Implement and maintain various policies, procedures, and controls reflecting the business’ regulatory and conduct obligations - Manage the Australian Compliance frameworks and conduct sample checks on chats, tickets, account approval, and other communications between staff and clients - Keep abreast of current business developments and regulatory issues - Assist in proofing, and submitting updated licence applications to ASIC along with annual, quarterly, and event driven disclosure to regulators - Maintain the Risk register and adequate policies, procedures, systems, and controls to identify, mitigate, prevent and manage regulatory risk including AML and KYC - Assist with marketing approvals - Collaborate with Compliance Managers in the Global offices - Manage compliance enquiries and manage IDR and EDR - Investigate issues reported by staff and clients and escalate if breaches are identified as significant - Respond and deal with relevant regulatory bodies - Review treasury functions including trust accounts, daily reconciliations and transactions and relevant regulatory reporting - Collaborate with External Compliance Officers, Regulators, and internal and external Legal teams - Provide advice/guidance to the business on key areas of Compliance and ensure all employees are fit and proper to perform their duties - Provide regular compliance reports to senior management - Assist in the design and implementation of all administrative processes and procedures - Manage vendor relationships and LEI for clients - Review and assist IT with testing applications and products - Ensure compliant reporting of all trade obligations and maintain adequate records - Assist with preparations for regulatory and auditor visits - Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training - Ensure a clear, fair, and consistent high-quality service is provided with appropriate confidentiality

• Compliance Analyst

  • Feb 2021 - Sep 2021

  Melbourne, Victoria, Australia - Dealing with complaints and communicating with AFCA - Updating and maintaining risk registers - Keep the training register up to date and provide internal training - Check the terms and conditions, commercial benefits, identify potentials risks, and review communication to clients. - Conduct investigation on compliance issues reported by staffs and act on the issues accordingly - Ensure all marketing materials are compliant - Conduct sample checks on chats, tickets, account… Show more - Dealing with complaints and communicating with AFCA - Updating and maintaining risk registers - Keep the training register up to date and provide internal training - Check the terms and conditions, commercial benefits, identify potentials risks, and review communication to clients. - Conduct investigation on compliance issues reported by staffs and act on the issues accordingly - Ensure all marketing materials are compliant - Conduct sample checks on chats, tickets, account approval and other communications between back office staff and clients - Update breach registers if any breaches are found and escalate further if breaches are identified as significant - Review and update company policies as required - Treasury approvals - Check daily reconciliation report - Check credit card transactions - Review and investigate charge backs - Deposit/Withdrawals verification - Review IP check report provided by the Finance team - Make sure CM report is submitted monthly within 10 business days of the new month - Conduct investigation on AML issues reported by staffs - Determine significance of the issue and whether it should be escalated further - File an SMR if needed - Identify a suspicious matter - Review and update KYC policy as required - Review and update AML/CTF program as required - Review transactions - File an Annual Compliance report - Keep the AUSTRAC profile up to date - Conduct a mandatory AML training for the employees - Review vendor contracts - Fill in vendor check lists - Respond to vendors queries - Keep vendors updated about company changes - Compliance review of new processes and products - Maintain the Conflict of Interest register - Comply with record keeping obligations - Report data breaches as they occur - Review dashboard to ensure correct trade reporting

• Client Onboarding Manager

  • Aug 2016 - Feb 2021

  Melbourne, Australia - Responsible for analysing, building, implementing and monitoring of solutions in the area of financial crime – Anti-money Laundering (AML) and Know-Your-Customer (KYC) - Managing the global KYC team - Responsible for the management and development of the global KYC team ensuring that the KYC cases are being completed to a high standard in line with the regulatory policies across the department - Onboard, process, review, and follow-up applications daily for retail and institutional… Show more - Responsible for analysing, building, implementing and monitoring of solutions in the area of financial crime – Anti-money Laundering (AML) and Know-Your-Customer (KYC) - Managing the global KYC team - Responsible for the management and development of the global KYC team ensuring that the KYC cases are being completed to a high standard in line with the regulatory policies across the department - Onboard, process, review, and follow-up applications daily for retail and institutional may it be individual, joint, or corporate - Screen and assess new and existing clients by using different systems like GBG, Trulioo, and World Check on a daily basis - Liaise with other departments to improve systems and processes on a regular basis - Prepare and provide daily, weekly, and monthly handover and reports - Provide high-quality service ensuring deadlines are met within the agreed timeframes - Work on projects that can improve business system, procedures, and processes - Managing on boarding of new departmental staff, including training - Employee (KYC team) training, goal setting and performance management - Ensuring that cases are prioritised/managed effectively and consistently, in line with the agreed process and Service Level Agreements, and ensuring that all aspects of delivery are running effectively - Ensuring that thorough, end-to-end quality checks of KYC cases are completed within the teams to adhere to the AML policies, procedures and processes - Managing day-to-day operation of activities and the full client life-cycle process including remediation, client on-boarding, off-boarding and KYC maintenance - Present updates regarding accounts and applications with other departments monthly - Ad hoc duties by management



illion

• Australia
• Financial Services
• 400 - 500 Employee

• Senior Collections Consultant

  • Apr 2014 - Aug 2016

  - Maximise collections for clients through high levels of productivity, excellent negotiation skills, and strong collection techniques - Collect outstanding balances and debt on behalf of The Australian Taxation Office and Centrelink. - Provide Tax Payers and Debtors with up-to-date information regarding their debts. - Liaise with ATO and Centrelink to achieve the best outcome for both the client and the debtor/taxpayer. - Liaise with tax agents in matters relating to their client’s… Show more - Maximise collections for clients through high levels of productivity, excellent negotiation skills, and strong collection techniques - Collect outstanding balances and debt on behalf of The Australian Taxation Office and Centrelink. - Provide Tax Payers and Debtors with up-to-date information regarding their debts. - Liaise with ATO and Centrelink to achieve the best outcome for both the client and the debtor/taxpayer. - Liaise with tax agents in matters relating to their client’s debts. - Active knowledge and strict adherence to the privacy act related to debt collections. - Interact with clients to negotiate a reasonable and attainable payment arrangement - Maintenance of the client database - Follows basic call flow and handling procedures while adapting to each conversation using the phone skills and techniques learned during training - Provide assistance and guidance to newbies Show less



Global National Australia Pty Ltd. (Techni Ice)

• Customer Service Consultant/ Data Entry Specialist

  • Sep 2013 - Jan 2014

  Melbourne, Australia - Provide help and support in administration, sales, and customer service - Maintain written and computer-generated logs for service requests - Keep client information current and updated - Maintain professional etiquette and prompt when dealing with all client requests - Perform clerical duties when required - Ad hoc duties by management



Convergys

• Business Unit Manager

  • Jul 2010 - Jul 2013

  - Responsible for planning, directing and overseeing the operations and fiscal health of the business unit, division, department, and the operating unit within the organization - Overseeing and leading the work of a group of people. - Responsible for planning and maintaining work systems, procedures, and policies that encourage and enable optimum performance of the people and other resources of the business unit - Handle escalations and client's complaints effectively and efficiently… Show more - Responsible for planning, directing and overseeing the operations and fiscal health of the business unit, division, department, and the operating unit within the organization - Overseeing and leading the work of a group of people. - Responsible for planning and maintaining work systems, procedures, and policies that encourage and enable optimum performance of the people and other resources of the business unit - Handle escalations and client's complaints effectively and efficiently in a timely manner to help the team achieve targets and metrics - Creating and providing reports in a daily, weekly, and monthly basis - Conduct meetings on a regular basis to provide updates and feedback Show less



iQor

• United States
• Outsourcing and Offshoring Consulting
• 700 & Above Employee

• Credit Solutions Specialist

  • Oct 2008 - Jul 2009

  Philippines - Provide customer service and solutions or possible resolutions to customers who have monthly dues and collects the necessary payments - Maintains written and computer-generated logs of all service requests - Enters and updates client information - Responds to all calls and service requests promptly and professionally