Mahnoor Zaheer

Responsibilities

• Maintaining and managing compliance with the Issue Management, Incident Management, and Controls Management policies, and upkeep of data quality in JUNO across all Financial Markets (FM) business teams through assurance activities;
• Leading Controls Assurance activities for business and technology controls including performing controls assurance reviews, uplifting Controls and performing Control Self-Assessments & Control Assurance Reviews for all FM business teams.
• Leading Data Quality Assurance reviews across all FM teams.
• Providing meaningful insights and commentary on Key Risk Indicators for issues, incidents, key obligations and controls to senior management risk and governance committees on a weekly, and monthly basis.
• Managing the risk profiles for each of the teams within FM and ensuring that these remain within the defined Risk Appetite.

Key Achievements:

• Part of the FM Risk & Regulatory Operations Leadership Team – built the Quality & Insights team from scratch including hiring and training staff and setting up processes to monitor compliance with Group and FM policies and procedures across all FM business teams.
• Uplifted / replaced existing excel-based spreadsheet reports by using data analytical tools such as Tableau, SIP and PowerBI to provide improved automated reporting to Senior Stakeholders on the FM RiskCo for each business team.

Responsibilities

• Conducted Data Privacy Impact Assessments for regulatory reporting projects (e.g., Strategic Reporting Platform, MIFID II, Pre-Trade Transformation) to safeguard client data.
• Delivered Business & Technology Risk and Controls Matrices (RCMs) for project streams, including risk assessment, stakeholder management, and control testing.
• Assisted in developing testing strategies, plans, and leading the review of System Integration Testing (SIT) and User Acceptance Testing (UAT).
• Participated in various meetings and groups, delivering key project artifacts and resolving implementation issues.
• Documented and assessed the business impact of change initiatives, aligning with risk and compliance standards and facilitating a seamless transition to BAU.
• Represented 1LOD Business Controls on change projects, addressing risks while meeting business objectives.
• Documented test scripts for end-to-end controls' design and effectiveness.
• Conducted comprehensive reviews of Systems Integrated Testing (SIT) and User Acceptance Testing (UAT), including test case creation/review, result validation, and producing test review reports.
• Managed and coached junior managers within the project team.
• Prepared and presented risk reports to senior stakeholders, including C-Suite level.
• Provided guidance and reviewed process documentation to ensure smooth delivery into BAU.

Key Achievements

• Delivered DTCC Re-Architecture - Nov 2020: Realigned data sources for derivatives post trade reporting to DTCC.
• Delivered Precious Metals Tactical Solution - Nov 2022: Realigned data sources for reporting commodity trades in precious metals.
• Delivered Strategic Reporting Platform: Implemented Markit Integrated Reporting platform for derivatives post trade reporting in multiple jurisdictions.
• Delivered GDR Uplift - May 2022: Enhanced FM client static data, managed data consent, and provided tactical reporting solutions.
• Enhanced Critical Data Element risk assessment template for Westpac Institutional Bank, ensuring data integrity.

Responsibilities

• Representative for Financial Services divisions in Working Group for policy development, feedback, and testing.
• Conducting training and workshops to embed risk and control policies for Financial Services BU/SU teams.
• Implementing and embedding processes, policies, and procedures from the Remedial Action Program (RAP) for Financial Services divisions.
• Collaborating with stakeholders, leading working groups, and finding solutions for complex risk and control issues.
• Conducting data quality assessments, providing learning and development opportunities, and ensuring compliance with standards in Financial Services.
• Supporting Line 2 Risk & Compliance in assurance activities and reporting on thematic reviews to the Non-Financial Risk Committee.
• Serving as Line 1 representative for Investor Relations, overseeing CAP testing, process design, and issue management.
• Coordinating Financial Services Learning & Development aligned with RAP requirements.

Key Achievements

• Designing processes and reports to enhance data quality monitoring for Non-Financial Risk Committee reporting.
• Designing and implementing processes for Group Delegations Policy and implementing automated solutions.
• Creating and testing a Standard Controls Library for CFO teams in Financial Services.
• Standardizing and harmonizing risk activities across 9 Financial Services divisions.

Responsibilities

• Act as risk partner for Wealth Finance & Investment Control.
• Review and assure compliance with outsourcing policies and supplier risk controls.
• Attend event/incident panels and support remediation efforts.
• Prepare Risk Management Forum reports and manage risk profiles.
• Assess regulatory compliance for wealth and superannuation projects.
• Review and monitor MLC's Business Continuity Plan.
• Perform risk profile redesigns, realignments, and control uplift exercises.

Key achievements

• Lead change management and design activities for Insurance in Super Code compliance.
• Redesign Risk Profile and perform Controls Uplift for MLC Wealth Finance.
• Conduct Controls Uplift for MLC Investment Control team.
• Designed and implemented processes for automated income stream reporting to Department of Human Services.

Responsibilities

• Lead engagement planning, strategy, and review for audits and projects. Manage audit staff and financial statement work papers.
• Oversee SOx controls and compliance.
• Coordinate stakeholders, including client personnel and cross-border teams, building positive relationships.

Responsibilities

• Lead engagement planning and audit strategy development with managers and senior managers based on entity understanding and risk assessment.
• Assist client management in preparing financial statements and reports, ensuring compliance with applicable reporting frameworks and regulations.
• Train, supervise, coach, and provide feedback to assisting staff during assurance and advisory engagements.

Key achievements

• Out of cycle promotion to Senior
• Multiple secondments to different counteries