UniSuper

Risk Manager, Advice & Education

Northern Trust Corporation

The Northern Trust Company (Melbourne) is a branch of the Northern Trust Company, operating as a foreign Austhorised Deposit-taking institution (foreign ADI) providing custody and fund administration services to Australian wholesale clients/institutional investors based in Australia.

The Regulatory Response Team is focused on risk and compliance activities. The team works closely with the BAU risk and compliance teams to deliver regulatory change initiatives for The Northern Trust Company (Melbourne).

Risk and Compliance Consultant 

As apart of the Australia Division Business Management Operational Risk and Compliance  function, I work within the Business Management team to support business goals & objectives and provide the broader 2nd line divisional Operational Risk and Compliance team with specialist knowledge, insight, advice and guidance.

Operational Risk and Compliance Manager

I performed two roles within the Responsible Lending Tribe:

Assurance Management Expert – Responsible Lending
The position objective is to assist the Responsible Lending Tribe to understand the risks which could impact delivery of key/regulatory compliance changes and initiatives across product tribes and teams.

Acting Wealth Stream Lead – DDO & Product Suitability Squad
The Design & Distribution Obligations (DDO) obligations compel issuers and distributors of financial products to take a customer centric approach to designing and distribution products.
•	Responsibilities included working with Product Managers, 1st line assurance, Operational Risk and Compliance, internal and external legal, distribution, and marketing to identify the distribution processes, system and control uplift required to ensure we are meeting our DDO compliance requirements;
•	Working with internal and external stakeholders who represent the third-party issuer to solve complex issues and negotiate outcomes that resulted in a positive revision of ANZ’s distribution obligations
•	Project delivery of key milestones and project managing streams of work with multiple stakeholders to achieve squad goals.

Assurance Management Expert – Responsible Lending and Wealth Stream Lead

The Complaints Assurance Manager is responsible for managing the Complaints Assurance process end to end within Private Banking and Advice. 
The Control Assurance Manager is responsible for providing oversight over Key Control Testing and leading the Control Assessment Managers within Private Banking and Advice.

Complaints Assurance Manager & Control Assurance Manager

Global Consultancy 'Big 4' Firm

The Quality Assurance manager's responsibilities includes the quality control of remediation managers advice file reviews, ensuring that appropriate outcomes, including application of relevant legislation, breach and causation is applied where inappropriate advice has been identified.

Quality Assurance Manager

Australian Financial Complaints Authority

The role objective is to resolve complaints with a view to provide fair outcomes to the complainants and the financial firms whom the complaint has been brought against, while considering the application of relevant legislation and the Financial Firm’s legal obligations in consultation with the Ombudsman.

Case Manager - Investments & Advice

MLC Life Insurance

The account management position (B2B) focused on business development, insurance sales and ensuring that the NAB mortgage lenders and in-house financial planners were suitability trained in the appropriate level of insurance product knowledge. This included compliant selling via NAB's retail distribution channel and providing advice within the regulatory insurance sales delivery framework.

Protection Coach (Business Development Manager)

The position focused on business development, insurance sales and ensuring that the NAB mortgage lenders and in-house financial planners were suitability trained in the appropriate level of insurance product knowledge, including compliant selling & providing advice within the regulatory insurance sales delivery framework.

Consultant,  Retail Wealth (Business Development Manager)

Contributed to building the ANZ Financial Planning business by developing productive relationships with clients and subsequently providing quality advice to meet their needs.

Financial Planner

First State Super

Provided relevant and compliant, high quality financial planning advice to First State Super members.

Financial Planner Associate

Experienced Finance Professional | Leader | Process and Improvement Specialist with 19 years’ experience in the banking and financial services sector.

An established professional with extensive knowledge of compliance, regulatory change management, product distribution, business development and advice. 

A natural leader who excels in relationship management and stakeholder engagement, key strengths are acquiring and applying technical knowledge within complex evolving operating environments and a tenacity for problem solving and process improvement.

A passion for disruptive technology and finance led to researching the impact of blockchain on the traditional finance industry. My MBA project research explored theories that blockchain technology and the money/payment revolution, due to its rate of adoption and social benefits, will likely transform the future of finance.

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