Compliance Operations Manager

• Jan 2017 - Present

Manager, Financial Market Operations

• Aug 2006 - Present

I effectively lead and manage the daily running of the Market Operations - Static Data team, working closely with General & Executive management to provide ongoing support across the Institutional Banking and Markets business.I am responsible for leading a team of 15 to ensure the production of Client Information including; On boarding, standard settlement instructions, Confirmation, Market Valuations and Revaluation Pricing is accurately sourced and independently maintained across a diverse range of products systems used by the bank. This service provided is to ensure integrity of information is appropriately applied to confirm and settle a range of foreign exchange, money market and derivative products transacted by the bank.I am also responsible for implementing policies and risk framework to ensure the security of client information is maintained at all times and compliance with regulatory requirements for anti-money laundering and suppression of terrorist financing.

Manager, Financial Markets Ops

• 2006 - Present

• Manage the production of client maintenance activities across FX/MM and Derivative Global Market products, to facilitate trading and operational capability for corporate, government clients and institutional investors.• Conduct regular quality assurance reviews of work through data driven analysis to align with BU/Group Risk Appetite Statement.• Promote compliance with Group standard operating procedures and Group policies.• Develop and maintain trusted relationships, work collaboratively with stakeholders across the Group who may contribute, influence or be impacted by transformational change recommendations or strategic/tactical planning.• Coach business people in learning and applying our Group framework and strategic priorities.• Determine appropriate change methodologies to overcome resistance and influence support for outcomes.• Manage daily work streams and operational costs within budget and deliver agreed benefits.• Operate within delegated authorities to conduct enhanced customer due diligence for alerts raised.• Knowledge of AML/CTF & Sanctions legal and regulatory requirements (APRA, AUSTRAC, FATCA, EMIR, Dodd Frank, MIFID). Landscaped internal compliance policies relating to client on-boarding. • Provide the required assessment and investigation of events in accordance with agreed Service level Agreements.• Demonstrate a clear understanding of end-to-end business processes that is relevant to own area of expertise.• Quarterly review of Critical Process Plans including Skills Matrix, BCP & ITSCM.