RG 146 (ELC and IPI)
Katrina Griffiths has over 12 years’ experience in the Financial Services industry. The Australian Financial Services licensees she has worked with or consulted to were licensed to advise on and deal in a range of financial products to retail and wholesale investors, including equities, cash and non-cash payment products, foreign exchange and derivatives.
Her roles included being Chief Operations Officer of several fund managers where she was in charge of all compliance and operations. Her operational experience includes unit pricing, dealing in financial products, day-to-day operations and management, maintenance of compliance registers and compliance procedures manuals. She has a thorough and in-depth understanding of trading systems for dealing and mandate compliance.
Katrina’s roles required good communication skills. She had direct client contact with institutional and high net worth investors and liaised with key external service providers for registered and unregistered managed investment schemes and investment mandates. She also communicated with regulators and lodged statutory reports and reported to compliance committees on the compliance status of registered managed investment schemes.
Her compliance experience includes compliance with Australian Financial Services licensing requirements and other financial services laws. She has worked with external compliance consultants to ensure that the companies for which she worked were subject to external and independent compliance reviews, kept up to date with relevant regulatory changes and that staff received appropriate training.
Katrina also had a range of Management and Training roles with Macquarie Bank across Trading and Dealing and Private Wealth.
For the past 5 years, Katrina has also managed her own family office fund where she has focused on currency trading and international derivative trading.