Kate Richardson Email and Phone Number
Kate Richardson work email
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Kate Richardson personal email
A highly effective and energetic Compliance Director with strong Australian and international expertise within the banking/finance sector acquired over 20+ years. Commercially minded leader with proven technical and leadership skills, and demonstrated history in developing, implementing and maintaining compliance programs to facilitate firms in managing compliance risk and meeting their legal, regulatory and ethical responsibilities. Areas of expertise include regulatory compliance; risk management frameworks, central compliance, regulatory management, training and education, policy governance, compliance system implementation, project management, personal account dealing, control room, conflicts management, investment banking advisory, control frameworks, remediation, agile critical thinking, strategic planning, problem solving in complex environments, robust relationship building, effective stakeholder management, verbal and written communications, cultural change management, people development, leading high performing teams.
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Compliance Lead - Coi ProjectQic Jun 2024 - PresentSydney, New South Wales, Australia -
Interim Head Of Compliance And AmlIntesa Sanpaolo Apr 2024 - Jun 2024Sydney, New South Wales, Australia -
Senior Advisor, Conflicts GovernanceWestpac Jun 2021 - Sep 2023Sydney, New South Wales, AustraliaResponsible for the development, uplift, embedment, and implementation of Conflicts of Interest (COI) frameworks in the Group Control Room and across the Westpac Group. -
Head Of Group Control RoomWestpac Oct 2017 - Jun 2021Sydney, AustraliaManaged the Group Control Room, which was responsible for the development, implementation and maintenance of COI frameworks across the Westpac Group, covering: organisational conflicts; transactional conflicts management; information barriers; personal account dealing; personal conflicts, outside business activities; research; substantial shareholder reporting.
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Compliance Project DirectorWestpac Mar 2017 - Oct 2017Sydney, AustraliaPerformed Compliance project lead role in business-led projects to strengthen the compliance risk management framework and implement MiFID II requirements across the financial markets and treasury businesses.
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Compliance ContractorInvestec Australia Dec 2014 - Mar 2017Sydney, AustraliaResponsible for implementing an efficient and effective compliance framework for Investec Australia Limited and its subsidiaries: managing regulatory relationships; advising management and the business on the firm’s compliance with its regulatory and Compliance obligations; delivering Compliance training programme; managing the Compliance Policy framework; managing the Control Room function; conducting monitoring against the Risk Assessment and Compliance Plans; reporting to the boards and Audit and Risk Committees; developing a Compliance Risk Management technology solution; coordinating Compliance Plan audits and regulatory reviews. -
Head Of Australia & Nz Compliance PracticesJpmorgan Chase & Co. Dec 2013 - May 2014Sydney, AustraliaResponsible for implementing and enhancing the firm-wide compliance practices framework in Australia and New Zealand, covering: regulatory management, compliance governance, reporting, training and education, issue management, compliance testing and policies and procedures. -
Head Of Asia Compliance Governance And Regulatory ManagementJpmorgan Chase Nov 2012 - Nov 2013Sydney, AustraliaResponsible for implementing firm-wide regulatory management framework (with appropriate regional variations) and governance model. Provided Secretariat support for the Asia Reputation Risk Committee, coordinating committee reviews, assisting business prepare submission materials; briefing committee members on reputation risk considerations; managing documentation, recordkeeping, reporting, exam/audit preparation, and committee governance.
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Head Of Asia Compliance Education; Head Of Asia Personal TradingJpmorgan Chase & Co. 2004 - Oct 2012Sydney, AustraliaSet up and managed the Asia Compliance Education function, developing and implementing the regional compliance training and awareness program, writing training modules and managing related administration (enrolments, communications, issue resolution, reporting etc.). Developed the Asia Compliance Dept continuous education program. Concurrently responsible for the regional Personal Trading function, leading of 6 employees, which developed and administered personal trading policies, including pre-clearance of employee trading, monitoring, management reporting, and breach reviews.
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Head Of Asia Control Room; Investment Banking/Research Compliance CoverageJpmorgan Chase & Co. Oct 2002 - Nov 2003Sydney, New South Wales, AustraliaManaged the Asia Control Room. Responsible for drafting and implementing policies and compliance manuals; implementing and monitoring information barriers; maintaining watch and restricted lists; maintaining information barrier frameworks; reviewing research; conducting training; performing new product approval reviews; advising on licensing/registrations and related obligations; provide compliance advisory to Investment Banking and Research departments.
Kate Richardson Skills
Kate Richardson Education Details
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Masters -
Bachelor Of Laws -
Bachelor Of Arts
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Westville Girls' High School, South Africa
Frequently Asked Questions about Kate Richardson
What company does Kate Richardson work for?
Kate Richardson works for Qic
What is Kate Richardson's role at the current company?
Kate Richardson's current role is Regulatory Compliance | Risk Management Frameworks | Conflicts Management | Policy Governance | Training | LLB LLM.
What is Kate Richardson's email address?
Kate Richardson's email address is ka****@****.com.au
What schools did Kate Richardson attend?
Kate Richardson attended University Of New South Wales, University Of Kwazulu-Natal, University Of Kwazulu-Natal, Westville Girls' High School, South Africa.
What skills is Kate Richardson known for?
Kate Richardson has skills like Regulatory Compliance, Compliance Management, Compliance, Risk Management, Financial Services, Banking, Investment Banking, Policy, Governance, Change Management, Management, Regulatory Requirements.
Who are Kate Richardson's colleagues?
Kate Richardson's colleagues are Katrina Morgan, Georgia King, Terry Palmer, Shaun Wilson, Thomas Mcbrien, Heidi Yu, Maroun Jahchan.
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Kate Richardson
Director At Energy Health Inc - Energy Health And Wellness Expert, Teaching Businesses And Teams To Scientifically Manage Burnout And Improve Their Energy Health And PerformanceQueensland, Australia -
Kate Richardson
Australia
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