10 episodes

The "Three Lines of Defence" Podcast provides an in-depth discussion into the world of Audit, Compliance and Risk for Banking & Financial Services. We will have in-depth discussions with a wide range of industry experts across the Three Lines of Defence, provide market updates, career advice and other key developments.

Three Lines of Defence Mark Enticott

    • Careers
    • 4.6, 10 Ratings

The "Three Lines of Defence" Podcast provides an in-depth discussion into the world of Audit, Compliance and Risk for Banking & Financial Services. We will have in-depth discussions with a wide range of industry experts across the Three Lines of Defence, provide market updates, career advice and other key developments.

    Scott Burton, Regional Head of Anti Financial Crime Compliance at Deutsche Bank

    Scott Burton, Regional Head of Anti Financial Crime Compliance at Deutsche Bank

    In this episode we speak to Scott Burton who is the APEC Regional Head of Anti-Financial Crime at Deutsche Bank.

    Scott started his career at Anderson consulting. He joined Credit Suisse in 1998, where he worked in various roles including regional head of AML. After 15 years of Credit Suisse, Scott joined JP Morgan as regional head of FCC, where he built out a significant size team of more than 130 people over a seven year period. In 2017. Scott joined Deutsche Bank in his current role.

    In this episode we discuss:

    • Scott shares about his early life and where he grew up
    • Why he started in banking financial services sector and developed his career within FCC
    • How working for one organisation for 15 years provided the opportunity to get some stability and build a foundation for his career
    • Challenges that Scott has overcome in his career
    • The key attribute he believes you need to be an effective leader
    • The individual traits he looks for when hiring
    • Scott's views around the current AML program effectiveness
    • Some ways we could become more effective and reduce the cost of AML
    • Scott points out some of the roadblocks in a KYC utility
    • Job mobility and how it advances an individual's career
    • What Scott is doing as a leader in terms of keeping the team together and focused on what they need to be achieving now that they are all working from home
    • How he manages pressure and stress
    • Scott's passions outside of work.

    Links:
    Scott Burton LinkedIn

    • 26 min
    Market Update - Australia

    Market Update - Australia

    In this episode of the Three Lines of Defence Podcast, we're going to provide you with a detailed market update across the three lines of defence for the Australian Market.

    In this episode we discuss:

    • High level overview on the market
    • Significant levels of activity in the banking sector
    • Discussion on the sectors of FCC, Compliance, Internal Audit and Risk.
    • Activities in the Superannuation and Asset Management Sectors
    • Key points in the Insurance Sector.
    • Conclusion on thoughts in the market for 2020.

    • 14 min
    Zane Pritchard, APAC Head of Compliance and Operational Risk Control at UBS

    Zane Pritchard, APAC Head of Compliance and Operational Risk Control at UBS

    In this episode of the Three Lines of Defence Podcast, Zane Pritchard, APAC Head of Compliance and Operational Risk Control at UBS joins us to talk about his career in the banking & finance industry and his vast experience in working in the three lines of defence.

    Zane has worked for almost 19 years at UBS. He has held a variety of different roles through the years in legal and compliance such as Russian Head of Compliance, Head of Legal and Compliance, and APAC Head of Business Risk for Wealth Management. He started his current role in UBS in March 2019.

    In this episode:

    • Zane shares about his early life and where he grew up.
    • The reason he decided to develop a career in banking and financial services and the three lines of defence.
    • How mentors have helped develop his career and leadership style.
    • Significant turning point in his career that brought him to where he is today.
    • Best lessons that he has picked up throughout his career.
    • Key attributes of an effective leader.
    • Characteristics he looks for when hiring for leadership roles.
    • Challenges he experienced in covering a region like Asia.
    • Advice he would give to a younger version of himself.
    • Key attributes for people who work in compliance.
    • The impact of technology on compliance.
    • The role of compliance in defining the risk culture of a company.
    • His thoughts on job mobility and how it advances the career of an individual.
    • Managing the level of stress in his leadership roles.
    • Zane's passions outside of work.

    Links:

    • Zane Pritchard LinkedIn

    • 36 min
    Jillian Haggerty, General Manager, Governance & Oversight at Challenger Limited

    Jillian Haggerty, General Manager, Governance & Oversight at Challenger Limited

    In this episode of the Three Lines of Defence Podcast, Jillian Haggerty joins us today to talk about her journey in the risk and compliance industry, leadership, mentoring and her thoughts on what the industry needs today and in the future.

    Jillian started her career in the insurance industry before she found her way into the world of risk and compliance. It was in 2004 that Jillian joined Challenger Limited as the Head of Compliance - Funds Management. After this, she became the Group Head of all Operation Risk and Compliance before holding her current position as General Manager Governance and Oversight.

    In this episode:

    • Jillian shares about her early life and where she grew up.
    • The reason she chose to work in the banking and financial sector, specifically developing a career within compliance and risk.
    • Mentors that helped develop her career
    • Significant turning point in her career.
    • Key attributes of an effective leader.
    • Things she looks for when hiring team members.
    • How firms are presently dealing with regulatory changes and its impact on the financial services businesses post the Banking Royal Commission.
    • Lessons Australian financial institutions can learn from what has happened overseas.
    • What compliance professionals need now and in the future, given the change in the Australian market from a regulatory point of view.
    • Developing good risk and compliance professionals.
    • Jillian's views on diversified teams.
    • Managing stress in her leadership roles.
    • Her passions outside work.

    Links:

    • Jillian Haggerty LinkedIn

    • 43 min
    Natalie Berney, Previously Head of Behaviorual Risk at Macquarie Group

    Natalie Berney, Previously Head of Behaviorual Risk at Macquarie Group

    In this episode of the Three Lines of Defence Podcast, Natalie Berney the Head of Behaviour Risk at Macquarie Bank joins us to talk about her experience in the industry, her diverse career background, and how she ended up working in the risk sector.

    In this episode we discuss:

    • Natalie shares about her early life and where she grew up.
    • The story of how she ended up working in the banking and financial sector and how she developed her career in risk management.
    • Key mentors throughout her career and the impact they had in her leadership style.
    • Fundamental turning point in her career that helped get to where she is today.
    • Key attributes of an effective leader.
    • Personality traits she looks for when hiring people.
    • Advice that she would give to a younger version of herself.
    • Significant lessons from health and safety in managing conduct risk and embedding an effective risk culture in banking, finance and superannuation businesses.
    • Her views on the difference between culture and conduct.
    • The status on how the broader banking financial services sector is going globally at getting conduct risk right.
    • Fundamental aspects of getting conduct risk right within a large financial institution.
    • Managing work pressure and stress.
    • Her passions outside work.

    Links:

    • Natalie Berney LinkedIn

    • 37 min
    James Walker, Managing Director of Compliance and Regulatory Affairs at Credit Suisse

    James Walker, Managing Director of Compliance and Regulatory Affairs at Credit Suisse

    James Walker, Managing Director of Compliance and Regulatory Affairs at Credit Suisse joins us in this episode of the Three Lines of Defence Podcast to talk about his career journey, his views on leadership, mentoring, diversity in teams, conduct risk and so much more.

    James started his banking and finance career at the Australian Stock Exchange working as a Market Surveillance Analyst. It was in 2003 when he started working in the world of compliance under Deutsche Bank. James then worked for 13 years in Citi, holding various roles including Head of Compliance for Australia and New Zealand. In 2017, James joined Credit Suisse as Head of Compliance and Regulatory Affairs for Australia and was later moved to Hong Kong to take on his current role in the company.

    In this episode we discuss:

    • The story of James' early life.
    • What made him decide to pursue a career in compliance and work in the banking and finance sector.
    • Key mentors in his career that have helped develop his leadership style.
    • How people from the ASX have gone to very senior levels in leadership within compliance.
    • Turning points in his career that led him to where he is today.
    • His favourite work location.
    • The most challenging component in his career.
    • Key attributes of an effective leader.
    • Things he looks for in hiring people.
    • One piece of advice he would give to a younger version of himself.
    • In looking at the 3 lines of defence, how does the 2nd line strike a right balance in your point of view.
    • The big component of advisory roles in compliance is the delivery of trying to influence the business as to why something needs to happen rather than being a "no" person.
    • The importance of diversity in building a team.
    • The changes that conduct risk has gone through and the future of where it's going.
    • Status of firms around conduct risk.
    • Tips in managing work pressures and stress.
    • Including exercise in your routine to release stress.
    • James' other passions outside work.

    • 35 min

Customer Reviews

4.6 out of 5
10 Ratings

10 Ratings

Dombowski ,

Fantastic Podcast!

Loving these podcasts. Great interviews with high quality guests!!

bobbicampbell ,

Three lines of defence

Incredibly insightful. Thank you.

Slater Lord ,

Brilliant.

This is my new favourite podcast. Looking forward to the next episode!

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