Phillip Moore Ca Email & Phone Number

Melbourne, Vic, Au

Melbourne, Australia

1. Develop and direct initiatives to improve and implement global best practice operational risk strategies for the Investment Management Group. Includes establishing and supporting the development of strong risk assessment, change management practices, internal risk monitoring and reporting infrastructure, targeted reviews, controls assurance, and external monitoring programs. Ensures the program is compatible with VGI’s enterprise risk framework.2. Provides operational risk management leadership on technology projects impacting IMG and Vanguard as a whole to ensure high global standards of operational controls are designed into future-state business processes.3. Leads efforts on behalf of IMG Operational Risk team to guide governance and control design decisions from the operational risk perspective on company strategic initiatives both regionally and globally.4. Identifies leading operational risk indicators through alignment of metrics with risk and controls. Develops and maintains metrics to communicate the status of measures effectively, embeds operational risk indicators in dashboards and reports for regional and global stakeholders.5. Conducts operational risk assessments in targeted areas or processes. Works with business to mitigate risks and optimize processes, using knowledge to design effective controls and monitor key controls for operational effectiveness. Tracks internal events for root cause trends and identifies external events for lessons learned opportunities.6. Collaborating with global operational risk functions across all regions, including leading global upgrade and implementation.7. Establishes and makes recommendations to maintain the framework for monitoring and analyzing risk processes ensuring the program is compatible with VGI’s enterprise risk framework.8. Provides global thought leadership around best practices and new/emerging concepts.9. Leads and/or participates in special projects and performs other duties as assigned.

Melbourne, Australia

To support and empower business to manage their own operational and compliance risks by providing expert advice to help embed sustainable risk management practices that protect ANZ customers, bankers and shareholders.1st line operational risk management supporting businesses across all facets of Commercial Banking - Business Owners and Business Lending, Customer Engagement, Customer Portfolio's and Distribution. In summary this includes:- risk & controls management (incl. treatments, events and audit items)- risk quality and adequacy oversight (incl. ORA's)- industry insights and trends- uplift risk management ecosystem (incl. identification and response to external/internal issues)- drive improvement in risk culture, capability awareness across all BU's/Tribes

Melbourne, Australia

- Lead SBA for the NAB Wealth Advice Partnership project stream- Working with business, technology, risk and project data analysts to identify key processes, customer/transactional data and develop process mapping and reporting in response to Program deliverables- Senior/Executive stakeholder engagement- Project Owner for root-cause analysis, issue identification and tactical/strategic solution proposals- Facilitating payment program (long-term initiative)- Documentation of internal controls

Melbourne, Australia

Sydney, Australia

- 1st Line Operational Risk & Control role sits within the Client Solutions business, providing direct risk support and oversight across all operational risk matters- Product responsibilities includes Corporate Lending, Credit Portfolio Management, Product, Loan Management Group, Structured Asset Finance, Project Finance, Real Estate Finance, Private Equity and Debt Markets- Industry coverage responsibilities include Natural Resources & Energy, Real Estate & Infrastructure and Industrials & Transport- Core operational and non-financial risk responsibility across Client Solutions including all risks, controls, issues (& actions), incidents, KPIs, KRIs and Risk in Change events- Oversight across all Client Solutions compliance obligation matters- Key contact with senior business stakeholders (i.e. Industry Heads, MDs, etc.)- Key contact for all operational risk matters with 2nd Line Operational Risk, IB&M Risk, Group Risk (including Internal Audit) and External Audit- Annual attestation for CAP testing (i.e. controls) and Suppliers (i.e. external vendor management, including non-Group technology systems)- BCF Product Register

Melbourne, Australia

Project Lead - FX EU Program- Review of conduct-related failures in NAB FX Spot business resulting from ASIC-issued EU (21st December, 2016)- End-to-end project delivery and future state program- Development of FX EU Control Inventory, Action Plans, Gap Analysis and Obligations Register- Engagement with IE (Independent Expert – Promontory, appointed by ASIC)- Key delivery lead with Strategic Advisor (i.e. PwC)- Key delivery lead for ‘themed’ working groups (internal) (e.g. Governance, Policy, Monitoring & Surveillance, Conflicts of Interest, etc.)- Business stakeholder engagement includes FICC Trading & Sales, Business Management, Management Assurance, Operational Risk & Compliance, Legal, People & Culture, Internal Audit, C&IB Conduct, NAB Project and NAB Group Regulatory Affairs

Melbourne

Senior Analyst - MMSP/CRCU Program & Management Assurancei) MMSP (Markets Monitoring & Surveillance Program) & CRCU (Conduct Risk & Control Uplift) Program (Apr - Sept 2016)- Policy (global review of policies, key documentation assessment against NAB Group requirements/global regulations where appropriate)- Training (global review of training structure/delivery, inventory of training modules and gap analysis of improvements to Markets training framework)- Governance, Culture, Regulatory & Reporting project initiativesii) FICC Management Assurance [Secondment] (Oct 2016 – Feb 2017)- Risk, controls, obligations reviews & assessments for Australia Corporate & Institutional Banking business including Capital Financing & Treasury- Risk management effectiveness review/escalation of issues with Operational Risk & Compliance- Key business management support across Markets business (i.e. 1st Line of Defence)

Melbourne, Australia

- Products & Markets Risk Management Committee (Secretariat)- Requisitions on Management- Scenario Analysis (& Key Risk Indicator monitoring)- Annual Planning for Management Assurance (including AFSL & ACL Annual Licence Requirements)- Crisis Management & Business Continuity Management Framework for Product & Markets- CCMC (Code Compliance Monitoring Committee) Returns- Development & coordination of Product risk management strategies & projects- Risk setting alignment across Product & Markets with 2nd Line of Defence (i.e. Operational Risk & Compliance)- Development of internal reporting framework/areas for improvement- Overall risk management consultancy enablement across Product & Markets (i.e. new risks)with both 2nd & 3rd Line of Defence- Integrity, Ethics, Equity, Outsourcing & Governance requirements across Product & MarketsOwnership for all Product & Markets Delegated Authority Management (DAAS)

Australia

Singapore

• Reporting directly to CEO International Banking & CAO International Banking, APAC• International Banking, APAC Executive Team member• Governance for Quarterly IB Assurance Testing, APAC (FLOD)• Risk, control & regulatory supervision incl. key relationship management with MAS (Monetary Authority Singapore) and other regional regulators as required (incl. Annual Reviews, Assurance Testing, etc)• Financial Business Scorecards - Performance & Strategy (monthly updates, incl. by country & region)• Custodianship on all ‘issue management’ events (i.e. client, regulatory, audit, PEPs)• Singapore Country Business Manager• Change / Project Management• Country Strategy Maps (IB only)

Singapore

• Reporting directly to Head of Singapore Markets/Head of FICC Trading, APAC & CAO Markets, APAC• APAC Product Business Manager: Credit Trading, FX Options, G11 FX (Spot), STMF (Money Markets), Futures/Prime Brokerage, Research & Strategy, Syndicate, SES (Special Equity Solutions), SSG (Special Situations Group), CEM (Counterparty Exposure Management) & Equities (Singapore only)• Key relationship management with MAS (Monetary Authority Singapore) for all Markets-related events• All Singapore-relevant issue management events (client, regulatory, audit, etc)

Mumbai Area, India

• Reporting directly to Head of India GBM & COO, APAC• India Business Manager covering Corporate Banking, Transaction Banking, Markets (FICC & Equities), Operations, Finance, Risk (Credit & Operational Risk) & HR• Responsibility for all BAU business reporting, executive management, business development, change & project management, country strategy• All India GBM-relevant issue management (client, regulatory, audit, etc)

Singapore

Singapore

London, United Kingdom

Melbourne, Australia

Melbourne, Australia

Melbourne, Australia

Qualified Chartered Accountant, Accounting

Business, Accounting, Finance, Law

Bachelor of Business & Accounting

Vce, Business, Commerce, Economics, Politics, Biology, Mathematics

School Vice Captain (Senior Year)