- Team lead on all potential issues related to communication surveillance for APAC- APAC SME for vendor assessment of global strategic communicationsurveillance platform.- Maintain policies/lexicons of Compliance Communication Surveillance Tools by engaging relevant stakeholders- Successfully rolled out HP Supervisor tool in APAC- Lead and guide investigations by developing deep dive reviews

- Promoted to Head of Monitoring and Surveillance for Australia.-Review trade surveillance alerts for Australia Equities and F&O Markets using SMARTS.-Developed an in house tool to identify unauthorised employee trading.- Review electronic communication alerts using HP Supervisor, Bloomberg MCMP and Vantage Facetime.- Project lead for APAC region to improve in house information barrier tool and roll out strategic platform.- Information Barrier monitoring: identifying unusual trading patterns for securities on the grey/watch list to identify potential insider trading.- Run reports to identify trades that violate internal restrictions.- Regularly present and meet to product compliance and the front office to discuss key issues that the Monitoring unit has identified.

-Providing advice for transactions involving introducing brokers.-Responding to business queries involving how to assess suitability and appropriateness-Review of business products and marketing material when necessary.-Induction training for new starters.-Project work to determine how Credit Risk price sensitive information can be ring fenced.

-Transaction/Position monitoring of Fixed Income using an in house tool.- Futures and Equities for APAC using SMARTS.- Monitoring of Lotus Notes/Bloomberg/Reuters communication for APAC.- Conducting investigations resulting from issues identified by the monitoring team.- Key Compliance Bloomberg contact point for Bank.-Provided Team training on Bloomberg software developments.-Escalating compliance issues to Advisory when appropriate.- Key regional contact person for improving electronic communication surveillance tools within the Bank.-Designed APAC internet activity monitoring reports to identify staff involved in unauthorised personal account dealing.-Performed Desk Reviews of business units within Australia/HK including Equities/Warrants Desks and Equity Capital Markets.-Provided recommendations for new Fixed Income transaction monitoring reports.

-Secondment to Singapore for 5 months to cover maternity leave-Advising Sales and Trading Staff on regulatory matters and internal Compliance Policies in a timely basis.-Interviewing staff who have potentially breached Compliance Policies.-Responding to Compliance Monitoring Unit queries.-Targeted Desk Reviews of business areas such as Commodities andDCM.

As per the description for Monitoring and Surveillance Officer from April - Sep 10.

- Supervisor of Banks, Superannuation Funds and Life Insurance Companies for Prudential Regulator- Participated in Targeted Risk Reviews of supervised entities- Drafted up final risk review report.• Review of Financial/Risk reports and pre visit material.• Wrote up internal risk rating reports according to inherent risk, capital, management and controls.• Australian delegate in a prudential regulator forum in Switzerland on how to allocate capital using stress testing.

- Constructed Balance of Payments of Data for New Zealand-Specialised in the international investment position and the managed funds survey