Vivian Tran Email and Phone Number

Line 2 Compliance adviser for the following functions throughout this time: Risk (including Financial Crime and Compliance), Group Sustainability, Finance, Group Audit, Legal, Secretariat, Transformation Office and Group Strategy.Responsibilities• Review regulatory changes and assist division to comply with requirements by the compliance date.• Advise and monitor compliance and conduct risks to ensure management of risks in line with both regulatory requirements and Westpac's risk appetite.• Draft quarterly compliance report to Divisional Risk Committees attended by General Managers and Executive on key compliance issues and areas requiring uplift.• Manage and mentor graduates during their program.Achievements• Developed 10 compliance plans for the Executive team and General Managers in the Risk Division which were endorsed and implemented effectively in time for APRA's annual CPS220 risk and compliance attestation.

Responsibilities • Operationalised governance of compliance initiatives across the Customer & Corporate Relations, Human Resources, Finance, Legal & Secretariat and Risk Divisions to ensure adequate oversight and consistent implementation of changes.• Assessed potential breaches across the divisions, escalating material breaches to senior stakeholders.Achievements • Created a compliance plan for the Credit Risk function outlining key obligations with adequate controls in place which was endorsed by the Credit Risk leadership team.• Recommended a framework to the leadership team in Credit Risk to uplift compliance management resulting in the creation of a new central team focused on non-financial risk management.• Co-ordinated responses with senior management across Group Functions for the first Banking Code Compliance Committee (BCCC) Compliance Statement.

Responsibilities • Weekly reporting of incidents and issues in Private Wealth, identifying trends and potential systemic issues. • Assessed low rated incidents for potential compliance impacts.Achievements • Co-ordinated the Private Wealth attestation to renew Westpac’s Australian Credit Licence.• Refreshed Private Wealth’s key risk indicators and simplified the risk reporting process.

Responsibilities • Completed risk assessments on supplier contracts for the Consumer Bank division.• Reviewed risks and controls for the Digital and Marketing business projects prior to implementation.Achievements • Developed a process to identify and monitor emerging risks. • Created a training framework for 1st and 2nd Line Risk new starters which received a Risk division award.

Responsibilities • Reported financial crime related incidents and issues weekly to financial crime senior management to ensure timely rectification. Achievements • Automated the reporting process of incidents and issues.

Through the University of Sydney's internship program, this internship was with Scotiabank's Relationship Management team. Responsibilities• Prepared pitchbooks on debt profiles and company presentations for their clients. • Completed customer credit ratings and tax reviews on clients. • Assisted the Compliance team to conduct world checks on potential clients to meet KYC requirements.

As part of Westpac's summer intern program, this internship was in the Professional Standards and Development team.Responsibilities• Developed a report for senior management on current and potential training to hold for Risk employees. • Created a webpage for the team on Westpac’s new intranet site (OBi).

• Served over 400 customers daily whilst maintaining high standards of customer service in a fast-paced environment.• Managed teams of 3 people and trained new team members on customer service, preparation procedures, safety measures and POS.• Conducted stock management including inventory control and handling deliveries.