Experience

.au Domain Administration Ltd.

• Australia
• Internet Publishing
• 1 - 100 Employee

• General Manager Licensing Framework Compliance and Privacy Officer

  • Sep 2018 - Present

  Melbourne, Australia My role is to establish appropriate complaints handling and dispute resolution processes to provide for conciliation or redress of grievances on matters associated with the administration of the .au ccTLD. Also, act in accordance with the following term of endorsement from the Australian Government: • promote principles of competition, fair trading and consumer protection Core Areas: • Manage handling of complaints and enquiries from the general public, that are received via the… Show more My role is to establish appropriate complaints handling and dispute resolution processes to provide for conciliation or redress of grievances on matters associated with the administration of the .au ccTLD. Also, act in accordance with the following term of endorsement from the Australian Government: • promote principles of competition, fair trading and consumer protection Core Areas: • Manage handling of complaints and enquiries from the general public, that are received via the website, email and phone. • Ensure that the registry and registrars are complying with the terms of their agreements • Manage responses to law enforcement requests • Provide analytical data that can assist in improving performance in handling of complaints and enquiries, and assist in improving governing policies • Manage audit program ensuring registry data is correct and compliant. I also actively contribute to the ongoing development of an organisational culture that embodies auDA’s values and promotes a positive and safe environment for staff. Show less



Telstra

• Australia
• Telecommunications
• 700 & Above Employee

• Senior Business Specialist

  • Jun 2016 - Aug 2018

  Melbourne, Australia Risk Management • Championing the embedding of the methodology in Key Business decision points including investment panels, design bodies and operational functions such as problem and incident management. • Establishment of key operational risk metrics to create clear linkages between operational outcomes and risks under management. • Taking responsibility for ensuring initiatives could articulate the specific risk reduction delivered, and challenge the scope of activity to ensure… Show more Risk Management • Championing the embedding of the methodology in Key Business decision points including investment panels, design bodies and operational functions such as problem and incident management. • Establishment of key operational risk metrics to create clear linkages between operational outcomes and risks under management. • Taking responsibility for ensuring initiatives could articulate the specific risk reduction delivered, and challenge the scope of activity to ensure the greatest risk reduction could be achieved from the significant investment made. Commercial Management • Responsible for managing multiple large client contracts. • Utilising my performance based contracting background. • Develop share models for performance. • Leading and guiding the commercial strategy. • Development of strategy, contract changes and contract negotiations. • Extensive Stakeholder management and engagement both internal and external. • Strong drafting skills. Developed and implemented a stakeholder engagement framework, specifically focussing on risk exposure and risk mitigation, to manage Construction Delivery Partner risk for the nbn rollout, specifically pertaining to Land Access. The framework identified and managed risk across all major players including but not limited to Large Body Corporates, Councils, Road Management Services and all their respective regulatory bodies. The program has to be introduced to the business via training session to ensure all parties were made aware of their compliance and regulatory obligations.

• Head of Compliance

  • May 2015 - Jun 2016

  Melbourne, Australia Development and implementation of the a robust Compliance program to manage all the risks Telstra Operations are exposed to in their vast range of activities specific focus was given on all the jurisdictional impacts and requirements and another major focus was technology risk and the impact it could have on the corporations compliance obligations. Extensive training sessions where done with all the Business unit risk owners to ensure they were aware of their regulatory obligations and how to… Show more Development and implementation of the a robust Compliance program to manage all the risks Telstra Operations are exposed to in their vast range of activities specific focus was given on all the jurisdictional impacts and requirements and another major focus was technology risk and the impact it could have on the corporations compliance obligations. Extensive training sessions where done with all the Business unit risk owners to ensure they were aware of their regulatory obligations and how to comply to them, as the telecommunications industry is very heavily regulated.



Equity Trustees

• Australia
• Financial Services
• 200 - 300 Employee

• Senior Business Risk Manager

  • Aug 2014 - Jan 2015

  Melbourne, Australia Support the implementation of frameworks and policies. Assist and support the Corporate Trustee Services (CTS) business to identify and manage risk and compliance obligations. Provide subject matter expertise and facilitate reporting to business unit and executive management. Ensuring continuing compliance with the obligations of the AML/CTF Act, AML/CTF Rules, FATCA, OTC derivatives regulatory requirements and Dodd-Frank requirements. Operational Accountabilities • Manage the 6 monthly… Show more Support the implementation of frameworks and policies. Assist and support the Corporate Trustee Services (CTS) business to identify and manage risk and compliance obligations. Provide subject matter expertise and facilitate reporting to business unit and executive management. Ensuring continuing compliance with the obligations of the AML/CTF Act, AML/CTF Rules, FATCA, OTC derivatives regulatory requirements and Dodd-Frank requirements. Operational Accountabilities • Manage the 6 monthly risk reviews of all external service providers, these include : 70 Investment Managers both domestic and international, which covers about 170 managed funds; 15 Custodians, Administrators and Unit Registries; and 2 Prime Broking relationships. • Reviewing all Marketing, Sales and business development proposals for the relevant business unit. • Ensure all complaints are recorded in the relevant register. • Assist in all relevant regulator enquiries and assist in the investigation and preparation of responses. • Be aware of proposed or impending regulatory changes and assess their impact on the EQT Group. • Assist in the review of and provide internal sign-off on offer documents to be issued by CTS. • Assist in responding to audit issues and audit queries. • Policies: Assist in the management of the review process for policies in particular relating to AML/CTF, FATCA and OTC derivatives to ensure that they remain up to date in relation to regulatory / industry / internal changes; Provide specific expertise as a key stakeholder in relation to other policies as requested. • Day to day assistance to Unit Registry in relation to processing application and general queries. • Acting as the Money Laundering Reporting Officer LEGALISTIC AND RISK FOCUS • FATCA • GATCA • OECD Reporting • OTC Derivative reporting • SOX’s • Dodd-Frank • Financial System Inquiry • AML/CTF • EMIR

• Senior Manager: Quality Assurance and Risk Management

  • Feb 2014 - Jan 2015

  Melbourne CBD Responsible for managing the operational compliance, quality assurance and risk management functions for +/- 170 funds under management operated by +/- 70 fund managers and assisted by +/-13 External Custodian and Administrators within the company. Ensuring regulatory obligations are met and adequate processes, systems and controls are in place. This will involve working closely with the Head of the Division, National Manager , Relationship Managers, the Compliance Team and internal and… Show more Responsible for managing the operational compliance, quality assurance and risk management functions for +/- 170 funds under management operated by +/- 70 fund managers and assisted by +/-13 External Custodian and Administrators within the company. Ensuring regulatory obligations are met and adequate processes, systems and controls are in place. This will involve working closely with the Head of the Division, National Manager , Relationship Managers, the Compliance Team and internal and external auditors. This role will identify, evaluate, mitigate and monitor all regulatory impact specially pertaining to Managed Funds. . The key regulators that will impact the legislation and that EQT has a responsibility for are ASIC, ATO, other Foreign Bodies such as the IRS and SEC. Risk Management • Planning, designing and implementing an overall risk management process for the business unit • Risk Assessment, Risk evaluation and establishing and quantifying the business unit’s risk appetite for clients. • Risk reporting in an appropriate way for different audiences • Providing support, education and training to staff to build risk awareness within the business unit • KPI monitoring for all Custodians, Administrators and Investment Managers (and others as required) and in conjunction with Relationship Managers • Develop and maintain a compliance and regulatory calendar of events to ensure appropriate planning and resource allocation to meet deliverables/deadlines General • Provide guidance, goals/ measures, coaching, performance feedback and development to team members • Adhoc Project allocation • Managing all External Audit reviews, just to keep the information that is going out consistent. • All communications that are distributed to external parties, including but not limited to quarterly newsletters and adhoc important notices. Legalistic Focus • FATCA • GATCA • OECD Reporting • OTC Derivative reporting • SOX’s • Dodd-Frank • Financial System Inquiry

• Senior Operations Manager

  • Aug 2012 - Jan 2014

  Melbourne CBD This role is responsible for managing the operational functions within CFS ensuring regulatory obligations are met and adequate processes, systems and controls are in place. This will involve working closely with the CFS Relationship Managers, relevant internal and external stakeholders and EQT Senior Management. Key Responsibilities • Lead and manage a team of staff ensuring productivity, provide guidance and develop skills • Identify process enhancements, efficiencies and controls… Show more This role is responsible for managing the operational functions within CFS ensuring regulatory obligations are met and adequate processes, systems and controls are in place. This will involve working closely with the CFS Relationship Managers, relevant internal and external stakeholders and EQT Senior Management. Key Responsibilities • Lead and manage a team of staff ensuring productivity, provide guidance and develop skills • Identify process enhancements, efficiencies and controls and implement as appropriate. • Coordinate and drive new department projects relevant to Operations • Work co-operatively with internal and external stakeholders to provide timely responses to queries and/or issues. • Maintain a calendar of events to ensure appropriate planning and resource allocation to meet deliverables/deadlines. • Work with Senior Manager – Quality Assurance & Risk Management to monitor compliance of assigned service providers to ensure standards specified in service level agreements are met. • Ensure that all offer documents meet all legal requirements and are of high quality including satisfactory completion of relevant due diligence binders. • Overall responsibility for the timely delivery of performance reporting and unit prices to external data providers • Manage Service Providers (Custodians & Administrators and Unit Registries) including EQT internal Service Providers and the operational requirements of Investment Managers in conjunction with the Relationship Manager • Overall responsibility for the timely instruction of all Fund related expenses • Project Management/Co-ordination

• Senior Compliance Officer

  • Nov 2011 - Aug 2012

  Melbourne CBD Key Responsibilities Develop and implement various compliance frameworks, • Develop policies and testing to meet Group Compliance obligations (including RE, Super, Private Clients) • Provide legal assistance and interpretation of legislation • Manage various document reviews, including but not limited to Product Disclosure Statements, Marketing material and all investor/member communications • Assist in planning and preparation of submissions to relevant Regulatory bodies… Show more Key Responsibilities Develop and implement various compliance frameworks, • Develop policies and testing to meet Group Compliance obligations (including RE, Super, Private Clients) • Provide legal assistance and interpretation of legislation • Manage various document reviews, including but not limited to Product Disclosure Statements, Marketing material and all investor/member communications • Assist in planning and preparation of submissions to relevant Regulatory bodies (ASIC, APRA, ATO,ASX) • Ensure constructive interfaces and relationships exist with Audit and Service Provider compliance • Develop, implement and in some instances maintain processes and conduct Due Diligence exercises, Review Breaches and all Complaints handling • Lead and participate in the development and maintenance of regulatory policies, procedures and compliance programs • Lead and participate in Compliance related projects which require research of political and/or industry information to ensure EQT is at forefront of regulatory management • Contribute to the development of board reports / reporting and compliance submissions Provide insight, training and awareness to internal EQT team member.



Catholic Church Insurances

• Insurance
• 200 - 300 Employee

• Senior Corporate Compliance & Governance Advisor

  • May 2009 - Nov 2011

  Melbourne, Australia Key Accountabilities • Develop, implement and monitor the corporate compliance program throughout all business units • Enhance existing controls and procedures to ensure the compliance program remains effective in light of changes to legislation and company policy • Assess and report on relevant changes to legislation and coordinate and assist in the implementation within each department • Develop and maintain an awareness of relevant compliance and corporate risk management… Show more Key Accountabilities • Develop, implement and monitor the corporate compliance program throughout all business units • Enhance existing controls and procedures to ensure the compliance program remains effective in light of changes to legislation and company policy • Assess and report on relevant changes to legislation and coordinate and assist in the implementation within each department • Develop and maintain an awareness of relevant compliance and corporate risk management issues • Assist with training programs to instil a Compliance & Risk management culture throughout company • Implement a compliance regime across all entities. • Assist in governance matters where requested • Extensive review of marketing information and all insurance policy wording, including the Annual Report Show less



Landmark Financial Services

• United States
• Financial Services

• Financial Services Compliance & Operational Risk Manager

  • Aug 2007 - Dec 2008

  Melbourne, Australia My Primary Objectives for Landmark Financial Services • To implement and embed the AWB Group’s framework for managing compliance obligations and to facilitate Landmark’s compliance with all of the regulatory requirements impacting upon Landmark’s activities • To enhance and optimize Landmark’s regulatory compliance strategy by embedding a culture of compliance and assurance within Landmark. • To identify measure, monitor and report on key operational risks which Landmark faces and… Show more My Primary Objectives for Landmark Financial Services • To implement and embed the AWB Group’s framework for managing compliance obligations and to facilitate Landmark’s compliance with all of the regulatory requirements impacting upon Landmark’s activities • To enhance and optimize Landmark’s regulatory compliance strategy by embedding a culture of compliance and assurance within Landmark. • To identify measure, monitor and report on key operational risks which Landmark faces and assist in the management of all audit activity, reporting and recommendation implementation. • To act as a financial services compliance expert to Landmark, including in the implementation of appropriate responses to legislative change, identifying, reporting and rectification of breaches and providing technical compliance assistance on a variety of compliance projects. • In addition, assisting ongoing interaction and reporting to all relevant Regulators as required. Show less



Mercer

• Portugal
• IT Services and IT Consulting

• Compliance Manager

  • Sep 2005 - Aug 2007

  Melbourne, Australia My Primary Objectives for Superannuation within Mercer Human Resource Consulting are: • To provide compliance and risk management support and monitoring to the Mercer Human Resource Consulting • To act as a compliance resource to the business, including in the implementation of appropriate responses to legislative change, identifying, reporting and rectification of breaches and providing technical compliance assistance on a variety of compliance projects. • In addition, assisting… Show more My Primary Objectives for Superannuation within Mercer Human Resource Consulting are: • To provide compliance and risk management support and monitoring to the Mercer Human Resource Consulting • To act as a compliance resource to the business, including in the implementation of appropriate responses to legislative change, identifying, reporting and rectification of breaches and providing technical compliance assistance on a variety of compliance projects. • In addition, assisting ongoing reporting to the Regulators as required. My Primary Objectives for Financial Planning within Mercer Human Resource Consulting are: • Auditing and monitoring of Financial Planners on a quarterly basis • Auditing and monitoring of Call Centre staff (actual member calls) on a quarterly basis • Auditing and monitoring of Customer services Managers on an annual basis • Proof reading of Marketing articles and client communications in respect of compliance and legal framework • Training of all new Financial planning staff in relation to Compliance and general Legal updates Show less