ian croucher

The key focus of this contracting role was to update and review the governance and compliance policies and documentation. This included preparing Board papers outlining the policy changes for the Board’s review and approval and communicating policy. In addition performed Compliance Manager role following departure of previous Compliance Manager: o Quarterly and Monthly Compliance attestations regarding compliance with the Funds and the DSMAs o Personal Account Trading requests o Gift and Entertainment quarterly attestations o Mandatory Compliance Training o Investment Guidelines Compliance (IRESS) o Daily Post trade Compliance monitoring and reporting o Trading bans (implementing, removing and recording as required) o Risk Events Management o Class Actions Participation o Marketing material reviews

* Maternity leave coverage contract. All products are actively managed funds. BAU daily, monthly, quarterly, biennial and annual tasks include: * Investment guideline, IMA and regulatory monitoring (Charles River Development) * FATCA and AML/CTF monitoring * Retail fund compliance and retail fund launch * Regular rollover/DD of PDSs * Substantial shareholder, derivative transaction and short position reporting to ASIC & ASX * Running the Risk Management Committee and Compliance Committee * Participating in the Product Management and Trade Oversight Committees * Input to Board meetings * Annual DRMS, GS007, Compliance Plan and AFSL audits * Signing-off promotional material and application forms * RG146 compliance * Signing-off and providing compliance input to retail and institutional client reporting material (monthly, quarterly and annual) * Providing compliance input to new institutional client RFPs * Annual Compliance Refresher training and Code of Ethics training * Compliance induction training to the new starters

* RentSmart Ltd was an ASX-listed company which provides credit solutions to retail and business customers for the lease of electrical equipment and consumer goods and has partnerships with major retailers with offices in Australia, the UK and Spain. To fund these operations, RentSmart also runs a securitisation program. Financial products experience in this role covered credit contracts, consumer and business leases, notes, debentures and derivatives (currency swaps). * Applied for and obtained two credit licences from ASIC * Applied for and obtained financial services licence (debenture program) and variation (securitisation program) * Developed full compliance manuals, compliance plans and monitoring program for credit and financial services activities * Reviewed and updated Business Continuity Plan and ran program (monthly meetings and monitoring) * Developed Compliance training program * Maintained Risk Register and Risk Management Program * Participated in process, customer documentation and internal control improvement initiatives

On a range of issues including Knowledge Management (KM), Basic Education and International Development and compliance of governments with international labour laws. Facilitated seminars in Asia and Geneva. Prepared project documents.

* Drafting of contracts as well as legislative and other complex regulatory instruments such as telecommunications and radiocommunications standards. * Providing legal advice on compliance of agency and telecommunications companies with telecommunications regulations and laws.

* Drafting of contracts as well as legislative and other complex regulatory instruments such as telecommunications and radiocommunications standards. * Providing legal advice on compliance of agency and telecommunications companies with telecommunications regulations and laws.

* Civil, criminal and administrative law litigation in courts and administrative tribunals including advocacy in tribunals, and lower criminal courts. * High level appeal cases (Full Federal Court and High Court). * General advising work and advice on human rights, refugee and migration law. * Legal training and development and drafting of legislation arising out of litigation and new government policies.

Drafting of contracts. Procurement and tendering procedures, building agreements, construction law and contract disputes.

* Advice on compliance of agency and external bodies with EU and domestic UK laws and regulations. * Advocacy in employment tribunals. Criminal cases including advocacy in lower criminal courts and significant prosecutions in the Crown Court. * Case management of significant civil litigation.

English language communications coaching to executive staff of major international companies.

Managing all investment, regulatory and contractual compliance responsibilities for the Australian business including AML/CTF, AFSL, Compliance Plan and incident management and all aspects of risk management, audit and registered Managed Investment Scheme (MIS) compliance. This includes ensuring that relevant investment rules are maintained for all registered funds and institutional mandates and that pre- and post-trade compliance is monitored on an ongoing basis via the company’s trading and compliance platforms including via Charles River Development investment monitoring application (CRD).

* Contentious work involving disciplinary matters and staff grievances. * Compliance of HR with staff regulations and laws

* Responsible for project to design and produce an online regulatory database on employment laws, policies and institutions in 60 countries. * Responsible for the design of equal employment opportunity (EEO) policies, national machinery and legislation * Provided advice to member states on compliance with international labour laws and domesitic laws. Risk analysis and identification of best practice in terms of legal regulation. * Organised and conducted high level national workshops and field trips, which included the participation of government Ministers, the private sector and trade unions. * Conducted politically sensitive meetings with ministerial and other government counterparts. * Conducted training, technical cooperation, project planning and evaluation.