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Radif Ul Hasan Rizvi
Melbourne,VIC
Summary
Results-driven Senior Compliance & Risk Leader with extensive experience in Line 2 risk oversight, financial services compliance, and regulatory governance. Proven expertise in APRA, ASIC, AML/CTF, enterprise risk management, and internal control assurance. Adept at developing and implementing risk management strategies, strengthening compliance frameworks, and partnering with executives and regulators to drive strategic risk initiatives. Passionate about fostering a culture of compliance, risk awareness, and operational resilience within the financial services sector. Seeking a leadership role in Risk & Compliance within a dynamic organization.
Overview
8
8
years of professional experience
Work History
Compliance & Risk Manager
K2 Asset Management
09.2023 - Current
- Leading Line 2 risk oversight, ensuring risk frameworks, policies, and controls align with APRA, ASIC, and AML/CTF regulations.
- Spearheading the development and execution of risk governance strategies to enhance compliance and operational resilience.
- Conducting regulatory change impact analysis, integrating evolving compliance requirements seamlessly.
- Providing strategic compliance advisory to executive leadership and board committees, influencing key risk decisions.
- Overseeing and enhancing AML/CTF programs, ensuring adherence to reporting and monitoring obligations.
- Implementing incident management processes, identifying, assessing, and reporting regulatory risks.
- Conducting internal control assessments to strengthen governance and improve compliance performance.
- Delivering compliance training to internal and external stakeholders, fostering a risk-aware culture within the organization.
- Conducting regular audits of existing policies and procedures, ensuring their continued effectiveness in addressing organizational goals related to mitigating risks.
- Collecting and reviewing compliance attestations for 24 Investment Schemes.
- Reviewing and updating offer documents, including TMDs, PDSs and IMs, for over 20 Investment Schemes.
- Enhanced the organization’s use of compliance software, streamlining incident logging and updating training registers, resulting in a 50% improvement in reporting accuracy and efficiency.
Customer Service Officer
Bendigo Bank
02.2022 - 06.2023
- Enhanced customer satisfaction by efficiently addressing and resolving their inquiries and concerns.
- Contributed to a 50% increase in new account openings by providing tailored financial solutions and exceptional customer service.
- Addressed customer complaints and mitigated dissatisfaction by employing timely and on-point solutions
- Maintained a high level of product knowledge to effectively assist customers with accurate information and recommendations.
- Managed payments, updated account balances and discussed subsequent payments with customers to keep accounts on track.
- Participated in regular meetings with supervisors to discuss challenges faced during daily operations, identifying opportunities for growth and development.
- Assisted in KYC compliance and financial crime risk monitoring, ensuring adherence to AML/CTF guidelines.
- Acted as a first line of defense, providing regulatory advisory support to customers.
- Strengthened compliance processes by ensuring transactions adhered to financial regulations.
- Investigated and reported suspicious transactions (SMRs) to AUSTRAC in alignment with regulatory obligations.
Customer Service Advisor
Sportsbet
08.2021 - 06.2023
- Supported AML compliance through real-time risk assessments and suspicious activity reporting.
- Conducted fraud investigations and suspicious transaction monitoring, ensuring risk policies were followed.
- Enhanced customer satisfaction by addressing and resolving issues in a timely manner.
- Developed rapport with customers, fostering long-term relationships and repeat business.
- Managed escalated calls effectively, diffusing tense situations and negotiating resolutions.
- Managed department call volume of [Number] calls per day and coordinated department schedules to maximize coverage during peak hours.
- Monitored and reviewed 300 betting transactions daily, ensuring compliance with regulatory requirements and identifying potential risks,
Assistant Manager
Yum Brands
07.2017 - 07.2021
- Completed regular inventory counts to verify stock levels, address discrepancies, and forecast future needs.
- Mentored team members to enhance professional development and accountability in the workplace.
- Generated repeat business through exceptional customer service and responded to customer concerns with friendly and knowledgeable service.
- Created employee schedules to align coverage with forecasted demands.
Finance Intern
Reflex Technology Group
02.2021 - 04.2021
- Maintained accurate, up-to-date financial spreadsheets and databases for reliable reference.
- Prepared and posted financial journal entries using technically relevant software.
- Assisted with bookkeeping and as well as migration to a new procurement system.
- Documented accounting procedures.
Education
RG 146 -
Kaplan Institute
Darwin, NT05-2022
Professional Year - Accounting
Monash College
Melbourne, VIC04-2021
Bachelor of Accounting - Accounting
Holmes Institute
Melbourne, VIC07-2019
Skills
- Risk & Compliance Leadership (Line 2 Oversight)
- Regulatory Governance (APRA, ASIC, AML/CTF)
- Compliance & Risk Frameworks Development
- Policy Development & Implementation
- Regulatory Change Management
- Executive Stakeholder & Board Advisory
- Audit & Assurance (Internal)
- Financial Services Risk Strategy
- AML/CTF Risk Assessment & Monitoring
- Fraud Investigation & Transaction Monitoring
- Incident Reporting & Risk Mitigation
- Team Leadership, Training & Development
Interests
Timeline
Compliance & Risk Manager
K2 Asset Management
09.2023 - Current
Customer Service Officer
Bendigo Bank
02.2022 - 06.2023
Customer Service Advisor
Sportsbet
08.2021 - 06.2023
Finance Intern
Reflex Technology Group
02.2021 - 04.2021
Assistant Manager
Yum Brands
07.2017 - 07.2021
RG 146 -
Kaplan Institute
Professional Year - Accounting
Monash College
Bachelor of Accounting - Accounting
Holmes Institute
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