Summary
Overview
Work History
Education
Skills
References
Timeline
Generic

Kieren Young

Sydney,NSW

Summary

Experienced compliance officer with a demonstrated ability to foster a strong compliance culture by developing and implementing effective regulatory policies and procedures. Supported by a solid educational background and a passion for finance and law.

Overview

4
4
years of professional experience

Work History

Compliance Officer

First Prudential Markets Pty Ltd
Sydney, NSW
01.2023 - Current
  • Develop, maintain and implement policies and procedures to support and drive a continuous improvement in compliance culture.
  • Investigate, report and advise on compliance related issues, incidents and breaches.
  • Investigate and respond to escalated customer complaints and manage the end-to-end IDR and EDR process.
  • Prepare and conduct AML/CTF and compliance training across the organization.
  • Reviewing transaction monitoring alerts and conducting thorough investigations into any suspicious activities, promptly escalating and submitting suspicious matter reports to AUSTRAC.
  • Reviewing marketing and website material to identify and mitigate any compliance risks.
  • Monitor regulatory changes and assess their impact on operations to facilitate a timely and compliant response.

Senior Business Research Analyst

Foundry
Sydney, NSW
11.2021 - 01.2023
  • Conducting in-depth market research and analysis to support strategic decision-making.
  • Collaborating with cross-functional teams to gather and interpret business data.
  • Presenting findings and insights to key stakeholders, contributing to company growth and innovation.

Education

Bachelor of Business (Finance Major) And Bachelor of Laws -

University of Technology Sydney
Sydney, NSW
11-2023

5 Month Law Exchange -

University of Ottawa
Ottawa, Canada
11-2022

Skills

  • Strong understanding of regulatory frameworks, including ASIC guidelines and the Corporations Act
  • Effective communication skills for stakeholder engagement
  • Attention to detail and strong analytical skills
  • In-depth knowledge of AML and KYC procedures
  • Experienced in managing compliance for both domestic and offshore entities

References

References available upon request.

Timeline

Compliance Officer

First Prudential Markets Pty Ltd
01.2023 - Current

Senior Business Research Analyst

Foundry
11.2021 - 01.2023

Bachelor of Business (Finance Major) And Bachelor of Laws -

University of Technology Sydney

5 Month Law Exchange -

University of Ottawa

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Kieren Young