Experience

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  IOOF Holdings Ltd

  • Australia
  • Financial Services
  • 700 & Above Employee

  • Head of Risk and Compliance, Advice

    • Jun 2021 - Present

    A risk and compliance professional with over 20 years experience in financial services. I am a confident and dynamic leader driven by building strong relationships with stakeholders and colleagues at all levels. Within the last 15 years my background and knowledge within wealth management, combined with my compliance and risk management capabilities has allowed me to bring a balanced perspective to the approaches required to manage operational, regulatory and reputational risks attributed to the financial advisory services. I am responsible for overseeing compliance with all regulatory requirements of the Advice division and supporting the management of IOOF’s Advice business licensees to maintain a strong and resilient culture of risk and compliance.

  • Senior Manager, Risk and Compliance

    • Oct 2018 - Jun 2021

    Achievements:- Providing 2nd Line Risk SME support of the IOOF Advice Divisions integration initiatives following the ANZ Wealth acquisition, aligning the total of 9 AFS Licensees within the Advice model. - Actively drove the Risk Profile refresh actions of the IOOF Advice Division enabling the adaption of a Key Control Testing review model. - Driving a resilient and adaptable team within a dynamic corporate environment, helping to build on and promote their existing strengths to form a highly regarded team of risk and compliance professionals.

• 

  ANZ

  • Australia
  • Banking
  • 700 & Above Employee

  • Senior Manager, Risk and Compliance

    • Nov 2016 - Oct 2018

    In this role I have provided insightful risk and compliance support to the Aligned Dealer Groups (ADG) of the ANZ Advice AFS Licensees. Primary responsibilities included:- Management and development of a dynamic team of risk and compliance managers;- Acting as key compliance contact and liaison support for the ANZ ADG licensees with the Australian Securities and Investment Commission (ASIC). - Providing a range of 2nd line risk oversight, review and challenge activities enabling alignment with the operation of the ANZ risk and compliance frameworks. - Responsible for compliance oversight with regulatory requirements, including: * regulatory change initiatives; * incident management and breach reporting; * regulator interactions; * AFSL activities and requirements (including Responsible Manager requirements, license variations and supporting external annual AFSL audits.) * management and review of Advice businesses risk and compliance plans. - Responsible for operational risk oversight in accordance with the ANZ risk management framework, including: * Assisting with the management and enhancement of the Advice Businesses Risk Appetite Statements and overall Risk Profile. * Working with the Advice 1st line risk team to enhance and maintain its control framework. * Implementation and regular review of the Advice divisions Governance structure and framework. * Provision of risk and compliance training to promote awareness. * Direct oversight to the closure of Advice specific incidents. - Regular 2nd line risk and compliance reporting to management and board committees.- Providing 2nd Line Risk and Compliance SME support to the ADG Advice businesses strategy initiatives, including the ANZ risk and compliance lead for the IOOF acquisition of ANZ Wealth Advice Licensees.

  • Manager Governance & Reporting

    • Jan 2016 - Nov 2016

    This role centred on supporting the Head of Risk and Compliance, Advice activities of risk and compliance liaison for the ANZ Aligned Dealer Group AFSLs with relevant regulators, such as Australian Securities and Investment Commission (ASIC), including:- regular regulator interactions reporting to relevant management and board committees of ANZ Wealth Division;- co-ordinating and drafting notices and responses to regulator interactions (eg. breach reports, voluntary notices, and responses to regulator notices and requests);- participating and supporting ADG licensees in meetings and discussions with Regulators.

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  BT Financial Group

  • Sydney Area, Australia

  • Compliance Services Manager

    • Apr 2015 - Dec 2015
    • Sydney Area, Australia

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  HSBC

  • Regulatory Compliance Manager, Retail Banking & Wealth Management

    • Aug 2010 - Apr 2015

    Managing the team providing regulatory compliance support to the HSBC Australia Retail Banking and Wealth Management Division comprising AFSL and Australian Credit Licence services to the retail banking branches and services, including wealth management advice and products offerings. With a dual reporting line into the Australian entity Head of Compliance and Asia-Pacific Director of Compliance (Hong along based), key responsibilities included:* Working with in-house legal to provide regulatory SME support;* Assist in the management of AFSL and ACL licensing requirements (including annual compliance certificates and responsible manager reviews and updates);* Development and maintenance of key country specific compliance policies;* Review and challenge of business specific processes and procedures in line with group and country based policies; and* Management of Regulator engagement and interactions as they relate to the retail banking and wealth management division.

  • Team Leader, Paraplanning (Wealth Management)

    • Apr 2008 - Aug 2010

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  FuturePlus Financial Services

  • Paraplanner / Review Planner

    • Apr 2004 - Apr 2008

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  Local Government Super

  • Customer Service / Employer Services Representative

    • Apr 1999 - Apr 2004