Ben Cheetham Email & Phone Number

Bristol, United Kingdom

Bristol, United Kingdom

Sydney, Australia

- Joint Head of newly created Compliance Office, responsible for performing Line 2 Compliance functions applicable across all retail Banking and Financial Services businesses and implementation of compliance frameworks that were not required under previous structure as a Line 1 Compliance function. - Leading a team of 5 including objective setting, completion of development plans and performance assessment. - Member of Compliance Leadership team.My responsibilities included:- Review of all new product / business / project / corporate transaction proposals to ensure compliance risks were identified and appropriate controls were implemented- Identification of regulatory change, interpretation of requirements, performance of impact assessments, and, in conjunction with the business, implementation of measures to address the new requirements- Development and implementation of an enhanced conflicts management framework- Compliance lead for business-wide projects and initiatives including Digital and Conduct Risk programs- Development and delivery of an annual training program- Day-to-day management of a team of 5 staff members.

Sydney, Australia

- Acting Head of Compliance for Macquarie’s employed and Authorised Representative Financial Advice businesses. Responsible for completion of Enforceable Undertaking deliverables agreed with Regulator and assigned to the Financial Advice Compliance team. Also responsible for the performance of day-to-day Financial Advice Compliance function.- Leading a team of 8 (2 interstate) including objective setting, completion of development plans and performance assessment.- Member of Compliance Leadership team.My responsibilities included:- Creation / enhancement of policies, procedures and compliance framework components to address the issues identified by Regulator- Performance of a six-monthly compliance risk assessment to identify process and control gaps and deficiencies. Establishment and performance of a control assurance program in relation to critical controls- Provision of conduct related advice to business management- Creation and presentation of Board and management reporting- Development of an ongoing compliance monitoring program using KRIs and data analytics to identify potential issues- Performed thematic and risk based reviews to assess compliance with Macquarie policy and regulatory requirements- Day-to-day management of a team of 8 staff members (2 based interstate)

Sydney, Australia

- Compliance and Operational Risk management in relation to the Risk Life Insurance and Deposit & Transactional Banking businesses. Responsible for advising management and Boards in relation to identification and management of Compliance and Operational Risk matters regarding business conduct, product design, servicing & distribution, change projects and regulatory developments throughout a period of significant and sustained change, growth and innovation for both businesses.- Completion of several Compliance and Operational Risk initiatives involving other businesses and considered strategically important.- Leading a team of 1 including objective setting, completion of development plan and performance assessment.- Member of management team for Insurance and Deposit & Transactional Banking businesses.My responsibilities included:- Working with business management to develop and operate the Operational Risk & Compliance frameworks across the Life Insurance and Deposit & Transactional Banking businesses- Provide ongoing operational risk and compliance advice in relation to conduct, product design, servicing and distribution, regulatory developments, process change and AML matters to ensure operational risk and compliance issues are identified and appropriately managed- Conduct periodic and thematic risk assessments, reviews and control assurance testing to identify process and control gaps- Manage the relationship with the Life Insurance Board and delegated risk committees including ownership of risk and compliance related reporting- Manage the relationship with Regulators including ownership of regulatory reviews, consultations, notices and queries- Manage the relationship with Internal Audit including negotiation of findings and overseeing completion of required actions- Manage regulatory change projects that impact multiple retail businesses

Sydney, Australia

London, United Kingdom

London, United Kingdom

London, United Kingdom

Gcses

Ba (Hons) Business Economics

A Levels