Proven legal and compliance professional with leadership and operational experience across the Asia Pacific region with a record of leading change, establishing strong compliance cultures and improving financial and governance results.
Overview
35
35
years of professional experience
Work History
Group Compliance Officer
Ventia Group
01.2014 - Current
Part of Legal team that established the business following its spin off from CIMIC
Established the compliance function from the formation of the business using financial services and regulatory background
Led in the drafting and rollout of a group wide risk and governance structure taking into account the challenges of a diverse industrial company with 7500 employees and 20,000 subcontractors
All policies and standards drafted and introduced
Whistle-blower service established and managed
An investigation process of whistle-blower and other compliance incidents introduced and led
A Code of Conduct drafted and rolled out supported by annual compulsory all employee training KPI’s hit every year
A whole of business compliance training program drafted and introduced
Successfully managed an Enforceable Undertaking with the Fair Work Ombudsman to remediate wage underpayments in a specific cleaning business
Participated in a major acquisition (purchase price $550 million) and the IPO of the Ventia Group
Corporate Lawyer, Leader
UBS Australia
01.2012 - 01.2014
Lead a team of six lawyers managing the Banks response to an Enforceable Undertaking with ASIC regarding non compliance with Corporations Law obligations.
The team managed the communication with impacted clients and the investigation of claims.
Achievement
The investigation and remediation of client entitlements to compensation exceeded both ASIC and the Banks management expectations, leading to ASIC releasing the Bank from the Enforceable Undertaking ahead of proposed schedule.
Vice President & Regional Counsel
Pacific Key Bank NA
01.2001 - 01.2012
Achievements
Established a region wide operations and compliance a team with twelve staff located in Australia, New Zealand and Hong Kong.
Established a branch in South Korea
Reviewed lending and other processes for efficiency and relevance
Led the introduction of anti-money laundering and counter terrorism financing processes in Australia and New Zealand
Developed a new leasing product for computer equipment for clients
General Counsel and Head of Legal & Compliance
National Australia Bank, HP & GE
06.1988 - 06.2000
Completed projects with high level of accuracy by working independently for a range of businesses with diverse operations
Researched new legislation and regulatory changes that impacted all areas of the business to advise management accordingly.
Performed wide range of legal work as part of in-house legal group for large companies
Translated complex legal issues into understandable terms.
Met tight deadlines and effectively managed multiple priorities using strong organizational skills.
Learnt the importance of contributing to corporate culture to achieve legal and compliance obligations
Education
Bachelor of Laws -
Syd University
Sydney, NSW
06.1986
Graduate Management Qualification - Business Administration And Management
AGSM
Sydney, NSW
07.1998
Skills
Outstanding technical legal knowledge
Compliance Team formation and leadership
Extensive operations experience in complex businesses operating across varied geographies
Plain english communication style
Additional Information
INTERNAL
INTERNAL
INTERNAL
Timeline
Group Compliance Officer
Ventia Group
01.2014 - Current
Corporate Lawyer, Leader
UBS Australia
01.2012 - 01.2014
Vice President & Regional Counsel
Pacific Key Bank NA
01.2001 - 01.2012
General Counsel and Head of Legal & Compliance
National Australia Bank, HP & GE
06.1988 - 06.2000
Bachelor of Laws -
Syd University
Graduate Management Qualification - Business Administration And Management