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Brian is a senior compliance specialist with a 15 year background in risk and compliance in the financial services industry. Brian was formerly Head of Compliance for Westpac Institutional Bank and prior to that held various positions in structured finance in the banking and financial services industry with Westpac, Morgan Grenfell and Kleinwort Benson.
Brian is currently a member of the Managed Fund Compliance Committee for Antares Managed Investments Limited, a subsidiary of NAB Limited.
Since leaving Westpac Brian has been an independent consultant with an array of assignments including
- Mizuho Corporate Bank/Advice on compliance with Anti money laundering legislation
- Australian Region; National Australia Bank/ creation of compliance program for securities distribution team
- Antares Managed Investments Limited/advice on AFSL application
- NAB Capital Division, National Australia Bank/advice on product disclosure documents
- Institutional Markets and Services Division, National Australia Bank/Acting Head of Compliance
- Group Operational Risk & Compliance, National Australia Bank/Consultant on Basel 2 requirements for operational risk program
- Institutional Markets and Services Division, National Australia Bank/ advice on conflicts of interest policy and related compliance program.
- Global Markets, Commonwealth Bank/Acting Head of Compliance
- CRA Plan Managers Pty. Limited / advice on AFSL application
- NSW Farmers Association/creation of Risk Management Framework
Facing the challenge“Today, risks don’t fit into easy categories or emerge from pre-determined place. They assault from all sides. It may surprise you to know that at least half of all corporate crises are caused by senior management action rather than external forces. I firmly believe that the most successful, least crisis-prone businesses will be those whose boards have shown firm resolve and taken decisive action. Effective, integrated strategies for dealing with tomorrow’s risks require a change in culture at board level now.”
(Lord Peter Levene, Chairman of insurance giant Lloyds speaking at the World Affairs Council).