Mark W. Email & Phone Number

Sydney, Nsw, Au

Sydney, New South Wales, Australia

- Overall responsibility for FinClear's AML/CTF and financial crime obligations;- Leading, supporting, and developing the AML/KYC Compliance team;- Keeping abreast of regulatory changes and communicating such changes and its impact across the business; - Providing assistance to the Head of Legal & Compliance in drafting, updating and implementing various compliance policies and frameworks; - Collaborating with internal and external stakeholders including Group Compliance Officer, Legal, Regulators including AUSTRAC;- Advising and engaging the business on AML/CTF compliance and conduct-related matters.- Assisting with the development and implementation of various policies, programs, procedures, and controls reflecting the business' regulatory obligations and to detect and deter financial crime;- Managing FinClear's AML/CTF Program independent & KYC review process;- Reviewing suspicious transactions and post trade monitoring alerts and provide advice and guidance to the business;- Developing, managing and delivering FinClear’s AML/CTF risk awareness training- Completing annual AUSTRAC compliance report; - Overseeing the drafting and lodgement of suspicious matter reports; - Providing regular compliance reports to senior management, risk and compliance committees;- Assisting with external regulatory and law enforcement investigations.

Sydney, New South Wales, Australia

• Effectively manage and mentor a team of DD Analysts.• Perform complex due diligence screening and vetting related processes in accordance with the AML/CTF program.• Team Management – Allocation of BAU tasks based on business priorities and general administration.• Conduct complex due diligence screening in accordance with both the AML/CTF Program and the mandatory Enhanced Customer Due Diligence (ECDD) Standing Operating Procedures.• Accurately update TrackVia and CMS, with revised risk ratings and concise summaries of due diligence findings. Compile in depth diligence reports as required.• Review ECDD and Ongoing Customer Due Diligence (OCCD) Reviews completed by DD Analysts.• Apply sound judgement, expertise and knowledge to make independent decisions and escalate red flags and due diligence cases of note to the Group Manager Due Diligence.• Effectively manage both the review and response of customer alerts highlighted by the Risk and Compliance database.• Establish and maintain key internal and external stakeholders.• Work in an efficient manner to complete all work tasks accurately and within the allotted timeframe, support and mentor junior team members and contribute to a culture of accountability, collaboration and respect.• Participate in AML Meetings, Watchlist, Patron Activity Monitoring Meetings (PAMM), Joint Risk Assessment Meetings (JRAM) and various governance working groups, as required.• Attend and contribute to management meetings and perform acting management duties, when required.• Ensure compliance with The Star’s Code of Conduct, all internal policies and procedures and relevant statutory and regulatory requirements.

Sydney, New South Wales, Australia

I lead a team of senior analysts and analysts who investigate and perform enhancedcustomer due diligence on CBA’s high-risk customers as part of CBA’s AML/CTF Operationsfunction. My responsibilities include: - Investigating and analysing confirmed suspected criminal activity to understand newand emerging trends.- Driving and overseeing the team’s operations to ensure that incoming AML/CTF alertsare prioritised and investigations and relevant reporting is conducted to the appropriatestandard.- Promoting a positive work culture and ensuring that team members have the supportand training necessary to perform their role.- Providing input into any new or updated CBA Group policies or standards that impactfinancial crime operations.- Driving a continuous improvement culture within the team and consistently looking fornew opportunities to optimise and streamline existing processes.

Sydney, New South Wales, Australia

Based in the Financial Crime Assessments and Assurance team, I was responsible forconducting assurance reviews of CBA’s Financial Crime compliance processes andestablishing and managing risk assessment and priotisation of all FCC risk items including incidents and issues for the CBA group. My responsibilities included:- Led assurance activities of financial crime policies and processes to ensure thatsystems met regulatory obligations.- Assisted in the development of standard operating procedures, templates and theassessment methodology.- Developed remedial plans to address identified issues relating to AML/CTF andfinancial crime.- Supported the development of the assessments pipeline framework and prioritisationmethodology.- Performed and prepared AML/CTF issue and incident risk assessments.

Sydney, New South Wales, Australia

I led the Financial Crime team working with Risk and Compliance business partners andother teams to implement all aspects of the Financial Crime Framework. My responsibilitiesincluded:- Effectively managing and mitigating key financial crime compliance risks and ensuringgroup-wide compliance with AML/CTF regulations.- Providing advice to the Perpetual Board and business on AML/CTF and financial crimematters.- Developing, implementing and maintaining AML/CTF risk assessment frameworks.- Managing day to day queries from the business on AML/CTF and financial crime andproviding expert support and advice to support business initiatives and projects.- Managing AUSTRAC reporting obligations and acting as the point of contact for lawenforcement and regulatory enquiries.- Training business unit staff to strengthen understanding of financial crime.

Sydney, New South Wales, Australia

I provided support and leadership in relation to financial crime matters. My responsibilitiesincluded:- Providing advice and guidance to the business on Challenger’s obligations in relation toAML/CTF, Sanctions, Anti-Bribery and Corruption, Fraud and FATCA and CRSobligations.- Assessing the potential threat of AML/CTF risk and fraud activities occurring andensuring appropriate programs, policies and processes were designed, implementedand monitored in respect of Challenger’s business activities.- Reviewing and updating Challenger’s ML/TF risk assessment and AML/CTF Program.- Participating in industry groups in relation to the drafting and interpretation of regulatorychange and guidance and application of regulatory change to Challenger’s businesses.- Evaluating emerging trends, procedures and methodologies in relation to financialcrime.- Ongoing design and delivery of the Financial Crime Risk Awareness Training Program

Sydney, New South Wales, Australia

Responsible for managing PayPal Australia’s obligations under the AML/CTF Act. My dutiesincluded:- Providing advice and guidance to the business in assessing financial crime risks, suchas AML/CTF and fraud.- Managing PayPal Australia’s AML/CTF compliance program including its ML/TF risk assessment framework, customer due diligence, regulatory reporting, transaction monitoring and AML/CTF risk awareness training.- Conducting reviews of new products or services prior to rollout to ensure compliancepolicy requirements are properly fulfilled in the product development build phase.- Implementing the oversight of product issues that could potentially affect compliancewith regulatory requirements.- Contributing to AUSTRAC’s Fintel Alliance on various initiatives to enhance informationflow between industry and government.

Sydney, New South Wales, Australia

Responsible for leading a team charged with monitoring, assessing and reporting on compliance with obligations under the AML/CTF Act by reporting entities. My dutiesincluded:- Acting as Senior Manager, Compliance and Director, Compliance, as required.- Determining and prioritising AUSTRAC’s compliance activities using various risk-basedstrategies and sources of information.- Leading and/ or overseeing compliance assessments of large, complex gamblingentities and using evidence-based analysis to prepare assessment reports.- Liaising and negotiating with reporting entities to improve compliance performance.- Collaborating with partner agencies and internal and external stakeholders onassessment activity and providing training to staff.- Representing AUSTRAC at various international, national and cross-agency forums.- Developing and maintaining AUSTRAC’s knowledge of the regulated population.- Supervising staff and assisting in the ongoing development and training of AUSTRACpersonnel.- Implementing operational plans according to AUSTRAC’s strategic goals and businessobjectives.

Sydney, New South Wales, Australia

Responsible for leading a team of 15 customer service advisors in delivering a range of services and assistance to eligible individuals. My duties included:- Leading a team in the fair, equitable, courteous and sensitive treatment of customerswithin legislative and policy frameworks and to specified standards.- Leading the implementation of identified strategic priorities at the local level.- Developing and maintaining networks and relationships involving Centrelink, customersand the community and engaging business and community organisations in managingreferral processes.- Driving, monitoring and reporting on performance against Key Performance Indicators,business outcomes and national initiatives.- Undertaking performance management assessments and developing performance improvement strategies.

Sydney, New South Wales, Australia

Responsible for leading a team of 15 customer service advisors in delivering a range of services and assistance to eligible individuals. My duties included:- Managing the operation of the customer interview process, ensuring contacts wereproperly handled and managing the processing of all new claims.- Managing, supervising and resolving customer complaints and identifying systemic issues.- Driving, monitoring and reporting on performance against Key Performance Indicators.- Undertaking performance management assessments and developing performance improvement strategies.- Developing and maintaining networks and relationships involving Centrelink, customersand the community

Sydney, New South Wales, Australia

Responsible for managing and overseeing the efficient operation of ANZ branches acrossNSW and the ACT (approximately 230 branches). My duties included:- Managing and coordinating the implementation of programs and projects within thebranch network.- Providing advice and assistance to ANZ branches on a range of operational and network issues including security, property, cash management and occupational healthand safety.- Investigating operational or network process issues and developing strategies for improving branch efficiency and performance.- Monitoring key aspects of ANZ’s security function including critical infrastructure protection, crisis management and major event planning.

Sydney, New South Wales, Australia

Responsible for undertaking compliance reviews of ANZ branches across NSW and theACT. My duties included:- Preparing market reports to identify systemic compliance issues and assisting branchesto build action plans to address these issues.- Identifying and recommending initiatives to minimise loss from high-risk processing or toimprove compliance performance.- Developing and delivering face-to-face training in branches.- Liaising and consulting with ANZ business units to address compliance related issues.

Sydney, New South Wales, Australia

Responsible for leading a team of 13 sales and service consultants and managing the day to-day business operations of the branch

Sydney, New South Wales, Australia

Worked in general duties and serious criminal investigations in specialised Detective units.