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Amanda Pinel

Amanda Pinel

Manager Operational Risk & Compliance

CUA - Credit Union Australia Limited

Brisbane, Australia

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CUA - Credit Union Australia Limited

Manager Operational Risk & Compliance

Responsible for
• Product and Marketing
• Finance Office
• Human Resources
• Business Transformation
• Risk Management

Key responsibilities:
* Attend & participate in all working groups, forums & meetings where risk management & compliance input or advice is required
* Develop & maintain Risk Management & Compliance Plan & execute in accordance with CUA’s Risk Management Policies, Standards & Procedures
* Manage, maintain & control Self Assessments along with Risk Register (incl structured & ad-hoc reviews & updates
* Identify risks across & Action Plans for High Inherent Risks
* Coordinate risk acceptance process
* Escalate (as appropriate) material risks, action plan gaps, action plan delays, &/or inadequate controls
* Support & contribute to the design, implementation, review & validation of controls
* Ensure consistent implementation of risk & control monitors
* Establish & maintain KRIs & execute ongoing risk monitoring & remediation actions
* Conduct risk assessments of initiatives, review proposed workarounds & associated controls incl design & validation of controDevelop & produce regular & ad-hoc reporting for Regulators, Boards, Committees, Executive Management Leadership Teams
* Coordinate & support the regular review & update of BIA & Recovery Strategy
* Support & contribute to development of Contingency Plans & Integrate within BC framework
* Provide/deliver ongoing Risk Management training
* Plan, lead, & deliver scenario analysis & ongoing analysis of risk data
* Ensure risk events are recorded, managed, monitored, escalated, & reported
* Prepare & produce risk insights that identify trends, patterns & concentration
* Support & contribute to the consistent, timely and high quality management of regulatory relations & ongoing management of CUA’s regulatory risk

Career medium 04
Career

Jardine Matheson

Compliance Officer

Jersey Financial Services Commission

Assistant Compliance Manager

Examine operation of regulated entities to ensure compliance with relevant legislation and best practice.

Assist in development of standards of expected best practice.

Monitor regulated entity compliance returns.

Produce reports of compliance visits to formally note findings, conclusions and recommendations.

Deal with new business applications.

Deal with complaints and general correspondence regarding regulated entities.

Key Achievements:
Produced key operating procedures to assist with new business applications.

Developed procedures in respect of compliance monitoring of regulated entities.

Developed checklists to ensure proper examination and operation of regulated entities.

Produced new database of regulated entities within the Commission.

Career medium 04
Career
Career medium 03

Deutsche Bank Offshore

Investment Management Administrator & Capital Markets Corporate Administrator

Responsible for a portfolio of complex special purpose vehicles to ensure good standing from accounting, statutory, legal and compliance perspective. Major clients included Banco Bilbao Vizcaya, JP Morgan Chase, Merrill Lynch and Societe Generale.

Supervised the distribution, return and implementation of new investment management agreements and guidelines for all clients.

Management of 2 staff.

Key achievements:
Produced key operation procedures to ensure compliant client adoption.

Developed a database of client investment guidelines.

Career

RBSI Custody Bank

Cash Management Administrator

Career medium 03

Jersey Post

MLRO

Review and prepare evaluation reports on suspicious transactions.

Monitor counter activity against in-house anti-money laundering database.


Liaise with Jersey Financial Crimes Unit (JFCU) and/or Customs & Excise.

Prepare reports for senior management.

Conduct compliance audits of branches and sub post offices.

Ensure changes to legislation are assessed and where necessary, employed in a timely manner.

Handle enquiries and Court Orders from the JFCU, Customs & Excise and/or the Police Fraud Department including the representation of Jersey Post as witness in court when required.

Maintain transaction statistics.

Key Achievements:
Produced staff anti-money laundering handbook and provided approximately 120 staff and senior management with training of the same.

Developed an in-house anti-money laundering database.

Career

CUA - Credit Union Australia Limited

Senior Compliance Analyst

Maintain compliance with statutory acts, codes and internal polices ensuring changes are communicated as necessary and monitored thereafter.

Maintain currency of the groups Australian Financial Services Licences.

New product development, training and procedures.

Review and authorise marketing/promotional material.

Provide on-going team direction, on-the-job-coaching and mentoring to non-direct reports.

Key Achievements:
Solely responsible for the development of a legal, regulatory and scheme matrix detailing all obligations for the group.

Twice named as one of CUA’s nineteen most high performing and high potential female staff members (2011 and 2012).

Sole Senior Compliance Subject Matter Expert for new core and online banking system project since 2011:

Review project documentation including functional specs, process maps, procedures, and correspondence to highlight compliance issues together with impact assessment, recommendations and change requests as necessary.

Assess impacts against existing general terms and conditions, policies, website and provide recommendations as appropriate.

Reporting requirements, storyboard attendance and advice, provide test scenarios, monitor market to ensure regulatory developments do not go unmissed.

Key Achievements:
Developed database of group compliance and operational risks as a result of new core and online banking system.

Commended for work on project by external auditors in recent board report.

Career medium 03
Career
Career medium 05

TGM Ltd

Compliance Analyst

Perform trading reconciliations and compliance tests against client strategy and prepare reports to senior management of the same.

Prepare summary compliance reports for clients.

Perform trade reconciliations for futures and forward foreign exchange contracts.

Perform margin reconciliations for futures open positions.

Perform daily reconciliation of client accounts with futures clearers.

Notify positions and trades to clients via Global Trading Support Services.

Perform cash settlement forward foreign exchange contracts.

Career

Indue Ltd

Risk & Compliance Officer

Assume the role of compliance officer pursuant to the FSR legislation.

Conduct internal/external compliance audits.

Assist in the maintenance of the business continuity plan.

Maintain group policy manual.

Provide staff training on AML/CTF program.

Ensure APRA standards are met.

Provide advice and recommendation for new product development.

Key Achievements:
Assist in development of a compliance program covering all obligations faced by the company.

Developed an AML/CTF program.

Obtained Indue Australian Financial Services Licence.

Career medium 03
Career

University of Southern Queensland

Law, Law