David Hendriks Email & Phone Number

Sydney, New South Wales, Australia

Sydney, New South Wales, Australia

Sydney Area, Australia

• Major achievements:
• Developed and execute a risk-based compliance testing plan to test regulatory controls for compliance with the relevant laws and regulations
• Executed a Cross Border framework project which implemented suitable processes and controls when selling products and services in differing jurisdictions
• Managed locally the initiative to document all JPMAM’s obligations arising from material laws, rules and regulatory requirements and connect those obligations to policies and controls
• Implemented RG 97 Fees and Costs disclosures regime
• Effectively managed an ASIC Class Order enforceable undertaking, including remediation program

This role supports the business by delivering an effective compliance framework and advising the business on compliance risks within the Asia-Pacific region. The scope of the role covers policy development, training, disclosure and monitoring for the entire business across front-office and support functions.

Reported locally to the CEO and functionally to the Chief Compliance Officer for ING Group and a member of INGIM Executive Team. Responsible for ensuring INGIM was able to meet all its contractual, fiduciary and regulatory obligations. Worked closely Australia’s largest superannuation funds and institutional clients offering a broad range of investment.

Sydney, Australia

Managed the risk functions of both Alliance Bernstein Australia and New Zealand. Responsible for the regulatory and internal control of all client investment mandates. Built and developed a more compliance orientated culture throughout the company, especially in the Melbourne and NZ offices, through training and education.

Established from inception then maintained an internal risk management controls framework and compliance. Initiated operational procedures to ensure appropriate coverage, and mitigation of identified business risks.

Managed the administration of Pooled Super and Investment Trusts (incl. preparing trust distributions, trust annual returns, annual accounts and audit

Performed the accounting functions of the both the Investment Management (Managed Investment Schemes and Superannuation Funds) and the Company’s corporate accounts for the Business.

Masters Of Commerce, Accounting

Cpa, Accounting

B Bus, Accounting