Sarah Chan Email & Phone Number

Sydney, Australia

• Managed external audit and compliance assurance engagements, including AFSL, managed investment scheme (MIS) compliance plan, GS007 internal controls and various regulatory compliance and risk advisory engagements for large financial service organisations across the wealth and asset management, and banking industry.• Led audit fieldwork across multiple client engagements, including onshore and offshore teams, and liaising across service lines to ensure exceptional client service delivery.• Developed the overall audit strategy and prepared audit plan.• Reviewed internal controls to identify any gaps and weaknesses in processes and controls, and recommended process improvement opportunities.• Drafted audit reports and presented findings to senior management and relevant Board/Audit, Risk and Compliance Committee.• Led business development and client pursuit efforts, including proposals and involved in the development of new service offerings.• Coached and developed junior staff, including active involvement in the performance development and mentoring of counselees.

Sydney, Australia

• Industry secondment to AXA IM Australia as a Compliance Manager, reporting directly to the COO/CFO.• Responsible for ensuring the compliance framework is suitable for the environment in which the business (mainly composed of Real Assets) and Funds/Mandates operate.• Monitored regulatory developments applicable to the business, working collaboratively with senior management to facilitate appropriate impact assessments, gap analysis and relevant implementation requirements are carried out in a timely manner.• Developed and managed the compliance monitoring program, conducting appropriate compliance monitoring and internal control reviews across the business.• Incident/breach management and reporting.• Facilitated compliance induction training to new starters and managed the ongoing maintenance and development of compliance training programs.• Managed and maintained relationship with external audit and relevant regulators (ASIC, AUSTRAC) to ensure completion of regulatory reports, submissions, filings etc.

London, United Kingdom

• The Europe, Middle East & Africa (EMEA) Central Compliance Team is responsible for providing compliance shared services support to the Commercial Banking, Corporate & Investment Banking and Enterprise functions in the UK, and across the wider EMEA region.• Provided independent risk oversight and assurance on the internal control environment through compliance testing activities, targeted reviews and issues validation in accordance with the annual testing plan across multiple entities and lines of business.• Reviewed regulatory change alerts, performed horizon scanning and supported the business on regulatory change projects. • Maintained and reviewed compliance policies and procedures, and supported the regulatory registrations process with the Financial Conduct Authority (FCA) for senior managers and certified persons under the Senior Managers and Certification Regime (SMCR) and Approved Persons regime.• Managed the process for the communication of regulatory knowledge and awareness outputs to the business (e.g in relation to regulatory change, policy, training and the EMEA Compliance intranet).

Sydney, Australia

Sydney, Australia

Sydney, Australia

Sydney, Australia

• Industry secondment to Stockland as a Compliance Manager, reporting directly to the Chief Risk Officer, Group Risk.• Enhanced and embedded the compliance framework through continued development and implementation of the regulatory roadmap compliance program, including AFSL, managed investment scheme compliance, real estate licensing, privacy and third-party due diligence.• Analysed financial services regulatory change and developed gap analysis to identify future needs for current operations and new business initiatives.• Conducted compliance monitoring reviews in accordance with Stockland's regulatory roadmap framework.• Reviewed, developed and maintained compliance policies and procedures to manage key compliance risks.

Sydney, Australia

Bachelor Of Commerce, Accounting And Business Law

Activities and Societies: Global Leadership Program, Mentor at Macquarie, Young Achievers Australia and Economics, Commerce & Finance.

Higher School Certificate