• Defining and executing Partners Life’s risk management, compliance, and legal strategies, to support the company’s overall strategic and operational objectives.• Leading the risk, compliance, and legal functions to implement and operate effective risk management, compliance, and legal practices for Partners Life in line with the appropriate strategies.• Assuring Partners Life’s compliance with all applicable laws and regulations.• Managing Partners Life’s supervisory relationships… Show more • Defining and executing Partners Life’s risk management, compliance, and legal strategies, to support the company’s overall strategic and operational objectives.• Leading the risk, compliance, and legal functions to implement and operate effective risk management, compliance, and legal practices for Partners Life in line with the appropriate strategies.• Assuring Partners Life’s compliance with all applicable laws and regulations.• Managing Partners Life’s supervisory relationships with the RBNZ and the FMA.• Enabling the Partners Life Board to effectively discharge its governance responsibilities over risk, compliance, and legal matters. Show less

Running the risk function at New Zealand's largest health insurer.

New Zealand's conduct and securities regulator. AML/CFT Supervisor. A member of the FMA Executive Committee. James led the multi-disciplinary frontline and operational functions of the FMA. This included licensing, monitoring, identifying, prioritizing and responding to misconduct, providing industry guidance, facilitating market engagement, and improving outcomes for consumers across all regulated sectors. Leader of the regulatory cyber and operational resilience functions.… Show more New Zealand's conduct and securities regulator. AML/CFT Supervisor. A member of the FMA Executive Committee. James led the multi-disciplinary frontline and operational functions of the FMA. This included licensing, monitoring, identifying, prioritizing and responding to misconduct, providing industry guidance, facilitating market engagement, and improving outcomes for consumers across all regulated sectors. Leader of the regulatory cyber and operational resilience functions. Developed the regulatory cyber resilience and crisis management strategy. Developed the FMA’s cyber resilience function and engaged with industry and various domestic and international agencies to improve New Zealand's resilience and preparedness.Led FMA’s successful engagement for the international evaluation of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) regime by the Financial Action Task Force (FATF) and represented New Zealand at international plenary sessions.Implemented a centre of excellence for supervisory response to streamline investigations and enforcement activity.Responsible for the rollout and implementation of the new Financial Advisor regime requiring an organisational wide redesign and industry engagement over multiple years. Chaired the joint FMA and Reserve Bank governance thematic. Show less

The FMA is responsible for ensuring public confidence in financial markets and supporting the growth of New Zealand’s capital base through effective regulation.Led a team focused on the supervision (monitoring, licensing, oversight) of financial market participants. Led the conduct and culture reviews of banks and insurers in conjunction with RBNZ.Implemented a lean six sigma practice delivering improved outcomes for the team, industry and consumers.Reporting to the CEO since… Show more The FMA is responsible for ensuring public confidence in financial markets and supporting the growth of New Zealand’s capital base through effective regulation.Led a team focused on the supervision (monitoring, licensing, oversight) of financial market participants. Led the conduct and culture reviews of banks and insurers in conjunction with RBNZ.Implemented a lean six sigma practice delivering improved outcomes for the team, industry and consumers.Reporting to the CEO since December 2019. Show less

Led four functional teams:1. Technology risk. 2. Productivity & process improvement 3. Service Transition – change management and governance.4. Enterprise Content Management (ECM) – responsibility for the bank’s document repository systems

• Investigations. • Response to incidents.• Relationship with law enforcement and other financial institutions. • AML/CFT and FATCA/sanctions compliance and Enhanced Due Diligence (EDD).• 24/7 transactional monitoring and response

• Led the operational risk and compliance functions for Technology and Operations of ASB Bank. • Technology risk, compliance and security

Relationship Banking (Wealth, ASB Securities, Private Banking) / Commercial and Rural Banking. • Led operations & risk functions for 5 divisions.

• Integrated the Business/Corporate and Rural Head Office teams.

ANZ NZ branch redesign