Ron Jiang
Head of Governance and Compliance, CoSec at Credabl- Claim this Profile
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Bio
Credentials
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GAICD
Australian Institute of Company DirectorsMay, 2022- Sep, 2024
Experience
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Credabl
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Australia
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Financial Services
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1 - 100 Employee
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Head of Governance and Compliance, CoSec
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Apr 2020 - Present
Board Experience: - Group Company Secretary (2021 – present); - Member of the Risk Committee; - Introduced an enhanced governance framework for formalising the Board Function, purpose of board committees and confirming directors’ roles and responsibilities; - Guided the Board to establish committees to safely transition from a small organisation to a medium sized group company with multiple subsidiaries; - Responsible for Board coordination and corporate governance management; - Corporate administration including ASIC and APRA compliance and liaison; - Ensuring compliance to obligations under the Corporations Act 2001 (Cth) and other relevant laws and regulations; - Reviewing and update corporate governance policies; - Managing, coordinating, and attending Board meetings and other corporation meetings; - Ensuring efficient and effective record management of minutes and documentation in accordance with governance practices; - Ensuring that board processes run efficiently and effectively; - Provide reporting to the Board and Risk Committee on the status of the compliance, risk management, and policy frameworks. Executive Experience: - Lead the development and implementation of compliance program, risk mitigation strategy, policy frameworks, processes, and systems; - Develop and implement the internal audit program, Intermediary Accreditation Program, Fraud Management Program, Complaints & Disputes Management Program; - Develop Compliance Training programs (eg. Privacy; NCCP; Cyber Security/Data Governance) - Assess risk management practices, develop and upgrade policies and work with stakeholders to identify and mitigate risks; - Contact point with regulators (eg. ASIC; APRA; AFCA; OAIC), dealing with, responding to, and managing correspondence and statutory notices from them; - Utilising extensive experience in governance, risk and compliance and long-term relationships with the leading legal firms and industry bodies. Show less
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Commonwealth Bank
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Australia
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Financial Services
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700 & Above Employee
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Senior Risk Manager
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Jul 2019 - Apr 2020
Chair of the RBS DDS Line 1 sub-Risk Management Committee. Embedding the Operational Risk Management Frameworks (ORMF) in the Business teams and accountable for: - Acting as risk SME to coach others and uplift Business risk culture through targeted training and day to day application of risk management principles in business decisions, including leading the Risk Champions Program; - Expert working knowledge of the Operational Risk Management Framework; - Providing operational risk advice to the Business on procedural and risk management issues and driving these through to execution; - Maintaining Business Risk & Control Profiles and lead the regular RCSA workshops; - Management of Issues, including tracking audit and risk issues, co-ordinating review, investigation and remediation, through to closure; - Management of operational risk and compliance incidents, including supporting the Business through the closure process; - Proactive management and execution of a Control Assurance Program (CAP), including identification and implementing controls where possible; - Reporting and measurement of Key Risk Indicators (KRI); - Leading “Risk In Change” activities including those for new projects; - Assisting the business with the Vendor/Supplier risk management framework; - Submission of papers for RBS Risk Committee for periodic reporting on Business Line 1 Risk activities and outcomes; - Leading the program of Deep Dives across DDS; - Liaising with Internal and External Auditors; - Participating in the wider RBS Line 1 Risk Community Leadership Team meetings, off-sites, and Issues Management Meetings; - Driving ‘close the loop activities to improve business processes that will reduce risk and improve efficiency; - Act as a strong 2IC to the EM Risk, Governance & Process Improvement, supporting the Risk function and wider Business community; - Mentor and assist team to uplift risk capabilities across Line 1 and the broader DDS community. Show less
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Pepper Money ANZ
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Australia
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Financial Services
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500 - 600 Employee
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Business Controls Manager -1st Line of Defence
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Oct 2015 - Jun 2019
Regulatory Compliance & Operational Risk Management - Prepared business reporting for the 2nd Line Risk and Compliance Team, Operational Risk Committee, Executive Team, Business Continuity Planning Committee; - Detected and reported fraudulent transactions and engaged the NSW Police in investigation and eventually took them to the court; - Built the Business Controls/1st Line risk function from a scratch; - Developed a full AML/CTF Procedure based on the program rolled out by the Risk and Compliance Team and facilitated staff training; - Reviewed industry-wide “Add-on Insurance” issue and worked closely with insurers to improve the business processes and controls in response to ASIC’s concerns; - Developed a Quality Assurance (QA) Monitoring Program; - Designed and built a QA system to track the quality trend and remediation process; - Implemented systems & process changes to minimise the compliance risks; - Established controls over the early hardships capturing the cause and Executives adjusting business risk appetite and updating Credit Guidelines to mitigate risks. Show less
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Macquarie Group
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Non-profit Organizations
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1 - 100 Employee
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Associate Manager - Business Risk, Compliance and Quality Control
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Sep 2005 - Oct 2015
2014 – 2015 Associate Manager, Quality Control - Responsible for monitoring credit decisioning, compliance and operational risks and conducting internal audit; - Responsible for fraud Investigations; - Managed “Clearance” Projects for rectifying systemic issues; - Managed solicitor panel and valuer panel; - Developed and maintained Risk Monitoring Reports. 2008 – 2014 Associate Manager, Business Risk - Responsible for managing Anti-Money Laundering, Fraudulent ID & Activities, complaints investigations; - Analysed business operation risks; Implemented and embedded new risk & compliance controls into the systems day-to-day operations ensuring the Macquarie Mortgage Division remains compliant in the changing regulatory environment; - Reviewed Credit Policies and Procedure Guides, NCCP regulations, AML regulations, OSR fees and organised system updates or implemented changes where necessary; - Received multiple Staff Awards; - Involved in various projects: APRA/Deloitte/PWC/LMI/Investor Audit; Business System Upgrade; - Responsible for fraud investigation, shortfall claims and negotiations with various parties (e.g. insurers; customer’s lawyers/real estate agents/accountants) for loss recoveries during GFC. Show less
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