Kate Richardson Email & Phone Number

Sydney, Nsw, Au

Sydney, New South Wales, Australia

Sydney, New South Wales, Australia

Sydney, New South Wales, Australia

Responsible for the development, uplift, embedment, and implementation of Conflicts of Interest (COI) frameworks in the Group Control Room and across the Westpac Group.

Sydney, Australia

Managed 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.

Sydney, Australia

Performed 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.

Sydney, Australia

Responsible 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.

Sydney, Australia

Responsible 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.

Sydney, Australia

Responsible 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.

Sydney, Australia

Set 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.

Sydney, New South Wales, Australia

Managed 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.

Masters

Bachelor Of Laws

Bachelor Of Arts

Education record