CASEY SMITH
Summary
Hardworking, motivated and reliable Operational Risk and Assurance Manager with 9+ years experience in the Financial Services industry. Expertise in risk management, governance, compliance auditing, and quality control processes. Skilled in analytical thinking, problem-solving, and communication to ensure regulatory standards are met while fostering collaborative working relationships.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Manager First Line Op Risk and Assurance
ANZ Enterprise Risk
Wellington
02.2023 - Current
- Managed assurance activities to ensure compliance with applicable policies, frameworks, and regulations.
- Assisted in the development of corrective action plans to address identified deficiencies and improve operational effectiveness.
- Collaborated with key stakeholders and senior management to drive improvements in processes and functionality.
- Conducted manual testing on web-based applications across multiple platforms and systems.
- Provided guidance and training to junior testers to foster skill development and improve team competency.
- Contributed to the adoption phase of Release 4 risk theme controls for the IAM Amplified project, supporting effective implementation and oversight.
Senior Analyst First Line Op Risk and Assurance
ANZ Central Risk Functions
Wellington / Rotorua
09.2021 - 02.2023
- Evaluated the effectiveness of existing controls regularly through rigorous investigations and comprehensive reporting.
- Applied comprehensive understanding of processes and systems across diverse business units, strengthening risk management strategies.
- Leveraged strong communication and collaboration skills to effectively engage with key stakeholders.
- Ensured timely delivery of outcomes by utilizing effective time management to meet established deadlines.
- Prepared detailed reports outlining findings from risk control reviews, along with actionable recommendations for risk mitigation.
Analyst Committee Governance and Reporting
ANZ Strategic Risk and Enablement Functions
Wellington
02.2019 - 09.2021
- Successfully fulfilled all committee obligations through effective time management and adherence to set deadlines.
- Resolved issues and amended documents by leveraging strong communication, collaboration, and problem-solving skills with key stakeholders.
- Demonstrated exceptional organizational skills in collating, distributing, and producing documentation for a diverse range of stakeholders.
- Created comprehensive reports, presentations, and other documentation tailored for key stakeholders to facilitate informed decision-making.
- Collaborated closely with the Legal team to support committee management and enhance organizational planning efforts.
Analyst Risk Reporting
ANZ Risk Metrics and Measurement
Wellington
07.2018 - 02.2019
- Developed robust data analysis skills through a rapid ability to adapt and learn new concepts and tools.
- Monitored operations, reviewed records, and metrics to gain insights into company performance and drive improvement.
- Analyzed key performance indicators to identify and recommend effective strategies for organizational success.
- Supported the Strategic Risk and Enablement team with APRA reviews and the Committee Reporting function, as needed.
- Exhibited strong leadership skills by volunteering to lead the planning and execution of the Risk Metrics and Measurements offsite event.
- Demonstrated self-motivation and commitment by independently learning Excel and PowerPoint to enhance productivity and reporting capabilities.
Consultant Mortgage Solutions
ANZ Group Mortgage Solutions
Wellington
03.2017 - 07.2018
- Effectively resolved complex customer inquiries using strong initiative and exceptional problem-solving abilities.
- Demonstrated conflict resolution aptitude by effectively de-escalating difficult calls through a positive and constructive approach.
- Utilized investigative abilities, aiding the development of innovative resolutions.
- Successfully presented ideas to enhance current procedures, resulting in improved productivity for bankers while enhancing the overall customer experience.
Team Leader, SME and Customer Service Consultant
ANZ Direct Service
Wellington
08.2015 - 03.2017
- Provided effective guidance and mentorship while leading offshore team training in Manila, Philippines for a duration of five weeks, highlighting strong leadership acumen.
- Led a team of five during initial orientation, providing continuous training and guidance.
- Facilitated seamless presentation of training materials by optimizing usage of productive time management principles and MS skills.
- Demonstrated exceptional customer service skills by consistently surpassing customer expectations in all interactions.
- Proven track record of effectively handling challenging customer situations, resulting in positive resolutions and maintained service standards.
- Managed conflict resolution within the team to maintain a positive work environment.
Education
Certificate - Travel, Tourism & Business
Sir George Seymour College
Hamilton09.2009
Certificate - NCEA Levels 1, 2 & 3
Rotorua Girls' High School
Rotorua08.2008
Skills
- Scheduling and Coordinating
- Staff Training and Development
- Data and Business analysis
- Cross-Functional Collaboration
- Complaint Handling
- Risk Mitigation
- Complex Problem-Solving
- Regulatory Compliance
- Agile Methodologies
- Process Design
Certification
- Agile Certified
- First Aid Certification
References
References available upon request.
Timeline
Manager First Line Op Risk and Assurance
ANZ Enterprise Risk
02.2023 - Current
Senior Analyst First Line Op Risk and Assurance
ANZ Central Risk Functions
09.2021 - 02.2023
Analyst Committee Governance and Reporting
ANZ Strategic Risk and Enablement Functions
02.2019 - 09.2021
Analyst Risk Reporting
ANZ Risk Metrics and Measurement
07.2018 - 02.2019
Consultant Mortgage Solutions
ANZ Group Mortgage Solutions
03.2017 - 07.2018
Team Leader, SME and Customer Service Consultant
ANZ Direct Service
08.2015 - 03.2017
Certificate - Travel, Tourism & Business
Sir George Seymour College
Certificate - NCEA Levels 1, 2 & 3
Rotorua Girls' High School
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