Shelly Lin
Zetland,NSW
Summary
A highly motivated and skilled Risk professional with over 10 years experience in implementing and embedding risk and compliance frameworks and policies in the financial services industry. A trusted risk advisor to the business and management on the delivery of non-financial risk activities efficiently, these include Risk and Control Self-Assessment, Compliance Self-Assessment (CSA), Control Assessment Program (CAP), Risk in Change (RIC), Business Continuity Management, and the design and delivery of risk reporting to Boards and Committees.
Overview
14
14
years of professional experience
Work History
Manager Risk & Control Advisory and Delivery
Commonwealth Bank of Australia
03.2019 - Current
- Provide quality risk management advice, and co-ordination, implement and oversee effective, timely implementation of the Risk Management Frameworks within Small Business Banking (SBB). This includes: (a) Risk & Control Self Assessment; (b) Incident and issue management; (c) Operational Readiness including Risk in Change; and (d) Implement and advise other key operational risk or compliance policies
- Maintain oversight of and continuously improve Small Business Banking end-to-end control environment including design and execute test plans to assess effectiveness of controls to manage operational risk and compliance obligations inline with Group methodology, and support centralised Business Banking Line 1 Risk Control Assurance Program (CAP) testing
- Delivery of insights and reporting to Non-Financial Risk Committee (NFRC), Business Banking (BB) Risk & Remuneration Committee (RRRC), and State Risk Forums.
- Improved risk culture by educating SBB Line 1 stakeholder on incident and issue management, obligation summaries reviews, control assurance program and testing, and RCSA activities
Senior Manager Risk & Control Advisory & Delivery
Commonwealth Bank of Australia, CBA
01.2024 - 01.2025
- Developed strong relationships with key stakeholders, fostering a culture of open communication and proactive risk management.
- Collaborated closely with peers from other departments to drive organizational success jointly as one cohesive unit.
- Achieved operational excellence by streamlining processes and implementing best practices.
- Established team priorities, conducted performance evaluations, compensations, and hiring to maintain appropriate staffing requirements.
Risk Manager
Suncorp Group
11.2016 - 03.2019
- Support Personal Injury business area to understand the intent, purpose and importance of sound risk practices and improve risk maturity. This includes educating Line 1 stakeholders on incident management, building control assurance program by providing tools and templates to the business.
- Developed tools and templates to facilitate risk profiling and control testing activities to ensure discussion and outcome have been formally documented.
- Partnered with 2LOD Risk Officer to implement the review process and raise awareness throughout the Personal Injury Portfolio and Solutions (PIP&P) area
- Developed monthly risk report for Personal Injury Leadership team; this covers risk matters that have material impacts to the business.
Risk Analyst
Zurich Financial Services Australia
07.2016 - 11.2016
- Completed control assurance review including collecting test evidence from business and provide assurance report to Head of Operations.
- Risk reporting including preparation of board paper
- Project risk assessment and manage project risk register.
Senior Operational Risk & Compliance Analyst/ Administrator
UDC Finance New Zealand
12.2010 - 04.2016
- Responsible to perform risk management activities including incident managements, control assurance program, business continuity management, preparing risk reporting for management and Board, and implementing regulatory and business change initiatives.
- Assist with development of risk and compliance awareness culture through training and guidance on regulatory, legislative and Group policies.
- Maintain an updated Risk and Compliance Obligations Register to ensure all risks and obligations are recorded on IBM OpenPage Operational Risk Management system.
- Implemented AML regulatory change requirements by delivering trainings to individual business team with Manager Operational Risk & Compliance.
- Implement Business Continuity (BC) Framework by coordinating BC rehearsals and updating BC plans for both local and off-shoring functions with Business Unit team leaders.
Education
Graduate Diploma - Business Studies, Accounting
Massey University
Auckland New Zealand2013
Bachelor of Commerce - Marketing and International Business
University of Auckland
Auckland New Zealand2006
Skills
- Flexible and Adaptable
- Effective Collaboration
- Effective Problem Solving
- Self-motivated professional
- Active Listening Skills
- Attention to details
- Decision-making
- Effective Time Management
Accomplishments
- Successfully completing CBA RCSA and CSA for conduct, financial crime, transaction processing, ESG, data management, conflicts of interests, and Spam Act obligations. Business Profile Owner has endorsed the outcome and recommended actions.
- Completed control testing within required timeframe and obtained endorsement for Control Assessment Program (CAP) from Control Owner.
- Improved Small Business Banking (SBB) control environment by engage other business unit to reassess and consolidate controls for consistency and efficiency.
- Improved risk culture by educating business stakeholders on incidents, issues, controls, and project risk assessments.
- Be the trusted risk advisor and support business stakeholders on Australian Communication and Media Authority (ACMA) Enforceable Undertaking (EU).
- Implemented Business Continuity Management Framework for UDC Finance Limited (NZ) including maintaining Business Continuity Plan (BCP) and run various on-shore and off-shore simulations to ensure the BCP is accurate and effective.
Reference
Available upon request
Timeline
Senior Manager Risk & Control Advisory & Delivery
Commonwealth Bank of Australia, CBA
01.2024 - 01.2025
Manager Risk & Control Advisory and Delivery
Commonwealth Bank of Australia
03.2019 - Current
Risk Manager
Suncorp Group
11.2016 - 03.2019
Risk Analyst
Zurich Financial Services Australia
07.2016 - 11.2016
Senior Operational Risk & Compliance Analyst/ Administrator
UDC Finance New Zealand
12.2010 - 04.2016
Graduate Diploma - Business Studies, Accounting
Massey University
Bachelor of Commerce - Marketing and International Business
University of Auckland
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