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Your Name

Compliance Officer

Sydney, NSW

your.email@example.com
111-222-3333
www.your-website.com

Summary

A financial services professional with over 10 years experience in the industry, including 5 years specialising in regulatory compliance in both retail and institutional banking.

Work Experience

Compliance Officer

Citigroup Pty Limited, Sydney NSW

Sep 2013Current

Core responsibilities:
  • Provide compliance advisory and support services to Retail Banking and Wealth Management, Sales & Distribution and Core Operations businesses.
  • Review and approval of marketing campaigns, product and business initiatives, training materials and procedures from a compliance perspective.
  • Communicate and implement regulatory change initiatives, as required.
  • Represent compliance on governance forums including Controls Management Committees (CMC), Business Insurance Committee (BIC), Rainbow release and INC governance.
  • Review of business incidents to identify and assess potential regulatory breaches.
  • Coordinate and draft responses to regulatory and FOS systemic queries, as required.
  • Work collaboratively with key business partners from Legal, Operational Risk, In Business Control and Regional Compliance.

Highlights:
  • Lead the review and implementation of the enhanced ASIC RG146 Training Directive. 
  • Compliance efforts recognised in the delivery of key initiatives, e.g. 31 day term deposit, AIA partnership and Citi Priority segment.
  • Received positive feedback from business stakeholders following delivery of targeted, face-to-face compliance training. 

Compliance Officer

Rabobank Australia Limited, Sydney, NSW

Jul 2010Sep 2013

Core responsibilities:
  • Provide compliance advisory and support services to all Rabobank retail and institutional business lines in Australia and New Zealand.
  • Team subject matter expert on conflicts of interest, insider trading, AML and sanctions requirements.
  • Develop and execute the annual Compliance Monitoring Program.
  • Draft, review and implement compliance policies, procedures and guidelines based on local regulatory and global policy requirements.
  • Report on compliance activities, incidents and breaches to Global Head Office, the Board, Risk, Audit and Compliance Committee (BRACC), the Executive Committee and the Operational Risk Management Committee (ORMC), as required. 
  • Contribute to the Obligation Identification and Assessment Process and the development and ongoing maintenance of obligations registers.
  • Roll-out bank-wide and targeted Compliance training and communications to Australia and New Zealand staff. 


Highlights:
  • Designed, implemented and executed Compliance Monitoring Program. This included obtaining Board approval for the program, completing fieldwork and reporting on outcomes to the Executive Committee.
  • Designed and implemented a Customer Due Diligence framework incorporating global policy and local AML/CTF requirements. This included design and implementation of procedures, forms, checklists and training for business stakeholders.

Associate Manager, Wealth Management

Macquarie Group Limited, Sydney, NSW

Sep 2007Jul 2010

Core responsibilities:

  • Support a team of financial planners and stockbrokers in managing a large, high net worth client portfolio.
  • Assist in the preparation of Statements of Advice, limited advice (SoAA's and RoA's) and annual review documents.
  • Daily monitoring and remediation of trading errors.
  • Daily monitoring of Corporate Actions & Initial Public Offerings, obtaining client instructions and ensuring that any advice is documented as required.
  • Perform due diligence on client investments (including equities, superannuation and managed funds).
  • Induction of new Financial Planners and Associates and ad-hoc training of current team.


Highlights:

  • Regularly acknowledged by Senior Management for efforts in supporting, training, mentoring fellow Associates, Advisers and broader team.
  • Gained knowledge in a range of financial products including superannuation, margin lending, equities, structured products, cash and fixed interest. 

Associate Specialist, Broking Services

Macquarie Group Limited, Sydney, NSW

Nov 2005Sep 2007

    Core responsibilities:

    • Provide back office support for stockbrokers, financial planners & associates across Australia and New Zealand.
    • Administer a range of retail products including Full-Service Stockbroking, DirecTrade, Options & Warrants, Cash Management Trust and Money Market. 
    • Quality Assurance of new trading accounts and maintenance requests processed by fellow team members.

    • Training and mentoring new starters. 


    Highlights:

    • Developed knowledge in equities and options products and technical requirements around settlements and trading rules.

    Education & Professional Accreditation

    Bachelor of Business, double major in Economics and Finance

    University of Western Sydney, Sydney, NSW

    20022005

    ASIC RG146 Accreditation

    Kaplan Education, Sydney, NSW

    20072009

    Completed diploma subjects (excluding skills) consistent with RG146 tier 1 training standards for general advice:

    • Entry Level Competencies
    • Investment Planning 1
    • Risk Management
    • Superannuation and Retirement Planning

    Compliance Associate Accreditation

    Governance, Risk, Compliance Institute (GRCI), Sydney, NSW

    20112011

    Completed Associate Intensive Program with the GRCI (formerly Australasian Compliance Institute),

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