Peter Carroll Email & Phone Number

Geelong, Vic, Au

Geelong, Victoria, Australia

Risk managementCompliance managementAssurance management (audits and monitoring)Quality management (ISO 9001 and process improvement)Documentation and trainingManagement system development & procurementSee www.interfact.com.au

Melbourne, Australia

In this role, for the West Gate Tunnel Project and VIDA, I:* Developed and implemented the quality, risk and assurance management programs and strategy* Ensured that quality management requirements and risks which could affect the capacity of the organisation to meet its responsibilities and accountabilities were identified, assessed and managed and that relevant controls were monitored via the assurance program* Worked closely with executive staff, other senior managers and… Show more In this role, for the West Gate Tunnel Project and VIDA, I:* Developed and implemented the quality, risk and assurance management programs and strategy* Ensured that quality management requirements and risks which could affect the capacity of the organisation to meet its responsibilities and accountabilities were identified, assessed and managed and that relevant controls were monitored via the assurance program* Worked closely with executive staff, other senior managers and relevant stakeholders to facilitate the implementation of the risk, assurance, continual improvement, BCP, documentation and quality management systems, frameworks* Managed the quality, risk and assurance functions and provided coaching and mentoring to assist the Executive and staff in the development and management of quality, risk and assurance programs.**My position became redundant due to a restructure. Show less

Geelong

Recent engagements:* Contributed to establishing risk, compliance and assurance tools and methods for the NDIA.* Drafted and reviewed Functional & Technical Specifications for Transport Certification Australia.* Developed compliance registers for Lexis Nexis.

Belmont, 3216

Karingal Inc. is a large ($100m+ turnover & 1800 employees) Not for Profit charitable organisation offering government funded disability services supported by the MatchWorks job placement division.• Managed 4 direct reports• Managed Internal Audit, Risk, Compliance and Quality Management functions• Implemented an Integrated Assurance Plan based on the 3 Lines of Defence assurance model• Enhanced the Risk, Compliance and Document Registers design and reporting• Conducted risk… Show more Karingal Inc. is a large ($100m+ turnover & 1800 employees) Not for Profit charitable organisation offering government funded disability services supported by the MatchWorks job placement division.• Managed 4 direct reports• Managed Internal Audit, Risk, Compliance and Quality Management functions• Implemented an Integrated Assurance Plan based on the 3 Lines of Defence assurance model• Enhanced the Risk, Compliance and Document Registers design and reporting• Conducted risk assessment workshops and assurance planning with Executive management• Compiled Audit and Risk Branch reports for the Executive and the Board• Achieving recertification to government and ISO 9001 quality assurance standards• Conducted confidential investigations into allegations of misconduct• Prepared Audit and Risk Branch budgets and managed expenditure• Developed policies, procedure and other technical documentation Show less

Geelong

The Geelong Shell oil refinery is a major hazard facility manned by approximately 350 employees and contractors. Compliance with Australian and Shell engineering standards and legal obligations is critical to its environmental, safety and operational success.• Managed 2 direct reports• Developed risk-based assurance plans with the Leadership Team• Implemented 3 Lines of Defence assurance system• Coordinated and conducted audits and compliance activities• Developed dashboards… Show more The Geelong Shell oil refinery is a major hazard facility manned by approximately 350 employees and contractors. Compliance with Australian and Shell engineering standards and legal obligations is critical to its environmental, safety and operational success.• Managed 2 direct reports• Developed risk-based assurance plans with the Leadership Team• Implemented 3 Lines of Defence assurance system• Coordinated and conducted audits and compliance activities• Developed dashboards and reported to site and head office stakeholders• Provided advice and training• Trained internal auditors and facilitated recertification to Shell, ISO 9001 and 140001 standards• My systems and methods were widely acknowledged as best practice• Developed policies, procedure and other technical documentation. Show less

Melbourne, Australia

Tabcorp Gaming Division offered poker machines, Keno and other gambling products in several states. Compliance with gaming and corporate laws and regulations protects the company and vulnerable gamblers.• Investigated compliance incidents and breaches• Prepared compliance reports for Risk & Compliance committees• Developed Compliance Assurance Plans • Developed and implemented the AML / CTF Program• Relaunched the TIPS Whistleblower Program• Maintained the CURA… Show more Tabcorp Gaming Division offered poker machines, Keno and other gambling products in several states. Compliance with gaming and corporate laws and regulations protects the company and vulnerable gamblers.• Investigated compliance incidents and breaches• Prepared compliance reports for Risk & Compliance committees• Developed Compliance Assurance Plans • Developed and implemented the AML / CTF Program• Relaunched the TIPS Whistleblower Program• Maintained the CURA compliance management system• Revised the Privacy Policy and trained staff• I was awarded a $1000 “Shine Award” for my work on NGERS environmental reporting Show less

Melbourne

The Key Control Monitoring & Assurance team tests the effectiveness of controls mitigating high and extreme credit and operational risks across the Institutional Banking Division.• Reported to the Head of Operational Risk & Compliance & managed 11 direct reports• Managed testing of controls on high risks across Institutional Division• Developed the 2008-09 KCMA Testing Strategy• Developed and implemented enhanced assurance testing methods• Restructured and resourced the KCMA… Show more The Key Control Monitoring & Assurance team tests the effectiveness of controls mitigating high and extreme credit and operational risks across the Institutional Banking Division.• Reported to the Head of Operational Risk & Compliance & managed 11 direct reports• Managed testing of controls on high risks across Institutional Division• Developed the 2008-09 KCMA Testing Strategy• Developed and implemented enhanced assurance testing methods• Restructured and resourced the KCMA team Show less

Melbourne, Australia

• Managed 4 direct reports• Investigated compliance incidents and breaches• Liaised with the Ombudsman, lawyers and staff to resolve customer complaints• Enhanced the Learning Management System• Ensured that compliance training was completed by all staff• Developed the Regulatory, Marketing, Intellectual Property and Information Technology guides• Prepared responses to regulators on behalf of the CEO• Revised the Privacy, Information Security and Fair Play Policies… Show more • Managed 4 direct reports• Investigated compliance incidents and breaches• Liaised with the Ombudsman, lawyers and staff to resolve customer complaints• Enhanced the Learning Management System• Ensured that compliance training was completed by all staff• Developed the Regulatory, Marketing, Intellectual Property and Information Technology guides• Prepared responses to regulators on behalf of the CEO• Revised the Privacy, Information Security and Fair Play Policies and Code of Conduct• Conducted risk workshops Show less

Melbourne, Australia

• Served the Payments, Shared Services and Strategic Sourcing business units• Conducted compliance reviews• Oversaw compliance training• Submitted monthly compliance status reports to business unit managers• Prepared annual compliance plans• Resolved compliance incidents

Geelong

Delivered a wide range of compliance and risk management, process analysis, technical writing and training services to a wide range of clients including:• 2004: Sensis Pty Ltd - IT Requirements Specification• 2004: ANZ Group Performance Management – dashboards for 3 layers of governance• 2003: Caltex - designed and implemented an MHF management system• 2002: TXU Australia – documented processes and delivered user training • 2002: Origin Energy – documented processes and… Show more Delivered a wide range of compliance and risk management, process analysis, technical writing and training services to a wide range of clients including:• 2004: Sensis Pty Ltd - IT Requirements Specification• 2004: ANZ Group Performance Management – dashboards for 3 layers of governance• 2003: Caltex - designed and implemented an MHF management system• 2002: TXU Australia – documented processes and delivered user training • 2002: Origin Energy – documented processes and delivered user training• 2001: Barwon Water – developed 13 procedure and system manuals • 2000: Tattersalls – documents for a successful gaming licence submission• Pre 2000: NAB, Bank of Melbourne, ESANDA, Powercor, CSIRO, Aquaclear, Pivot.• 1995: Lecturer for the Technical Writing unit at Deakin University• 1994: Lecturer for the Instructional Writing unit at Victoria University Show less

Graduate Certificate Of Scientific And Technical Writing, Scientific And Technical Writing

Bachelor Of Education (Bed), Media Studies & Language