Mark Shaw Email & Phone Number

Sydney, Nsw, Au

Sydney, Nsw, Au

Sydney, Nsw, Au

Melbourne, Victoria, Au

Successfully designed and implemented functional restructure to bring together existing divisional operational risk and compliance team to enhance business relationships and enable a more holistic and integrated risk management approach.Led highly skilled cross functional team to empower risk aware decision making and ensure the right operational risk and compliance outcomes across ANZ's end to end retail, commercial and private bank.

Melbourne, Victoria, Au

Led the Compliance function across ANZ's Australia Division including the Retail, Commercial & Corporate Banking businesses and their supporting functions. Accountable for providing compliance oversight and strategic advice, managing relationships with key regulators and ensuring appropriate responses to the rapidly changing regulatory environment. This included the divisional financial crime function encompassing AML, sanctions, anti-bribery and corruption and fraud risk.

Melbourne, Victoria, Au

Led function overseeing all aspects of compliance for ANZ's NZ business. This included:- Providing strategic advice to the retail, wholesale and wealth management businesses and major projects.- Managing relationships with ANZ’s key regulators & industry bodies including the Reserve Bank, Financial Markets Authority (FMA).- Leading ANZ’s response to a significant volume of regulatory change through development of over 30 submissions on various proposals including prudential capital reforms, securities law reform and consumer law reform.- Successfully implementing an integrated Operational Risk & Compliance framework - Reporting to executive and Board on compliance risk issues and exposures. - Chairing the NZ Bankers Association Policy Advisory Group.

Melbourne, Victoria, Au

Responsible for ANZ’s response to customers impacted by the collapse of a major Australian financial planning firm.Oversaw development of all aspects of a resolution scheme to manage customer claims including finalising the scheme design, negotiated with outside law firms and other service providers, handled regulator enquiries and coordinated customer contact.

Melbourne, Victoria, Au

Led team responsible for advising Business Units on regulatory compliance and change and developing group compliance policies. This involved:- Coordinating and advising on engagement and breach reporting with respect to key regulators;- Conducting independent reviews and investigations to identify systemic compliance issues;- Coordinating numerous activities to influence regulatory change through submissions to Government & Regulators and prepare the Business for upcoming changes.

Melbourne, Victoria, Au

Responsible for ANZ’s compliance incident management and conflicts of interest policies and processes to ensure prompt identification, escalation and remediation of incidents and provide an accurate indication of compliance risk culture and issues. Also authored group compliance reporting to stakeholders e.g. Executive and Board Risk Committee to provide insight and analysis on current and emerging compliance risks/issues.

Brisbane, Brisbane, Au

Managed the group’s governance, policy & regulatory training frameworks, including the development and review of board and executive policies and drafting of board submissions on governance and compliance topics. Also responsible for receiving and investigating allegations made by Suncorp staff via the group's whistleblower process.

Brisbane, Brisbane, Au

Compliance officer for Suncorp’s insurance call centres and agencies across Australia. Responsible for reviewing new and existing procedures, training material and communications (internal and external) and ensuring compliance incidents were appropriately managed.

Passed All Three Levels Of The Cfa® Program

Bachelor Of Laws - Llb

Bachelor Of Science - Bsc, Computer Science

Graduate Diploma In Legal Practice