Lim - Compliance Officer - Melbourne, Victoria, Australia

Kelvin Lim

Melbourne, Victoria, Australia


Compliance Officer


I lead the internal audit activities and other standards based audits, interpreting, monitoring and reporting out changes in legislation, liaising with key stakeholders to ensure regulatory compliance is provided to our customers and working with the business to ensure policies and procedures are in place and current, minimising potential impact to GE.

Work History

Policy and Procedures Coordinator

January 2011 - June 2011

• Maintain and update all existing Policies and Procedures.
• Interaction with Senior Management.
• Provide continuous support to all managers and consultants.
• Assist in training materials and act as a SME for all new colleagues.

• Recognition Winner of 1st Quarter Customer Centricity 2011.
• Recognition for migration of Policy and Procedures for the Communications Team.
• Certificate of Appreciation for charged off project - Insurance.
• No compliance breach.

Monitoring and Audit Specialist

GE Money

May 2010 - August 2013

Jun 2011 - Aug 2013

• Conduct daily Compliance Audits across all charged off products.
• Analyse audit data, identify gaps and trends in Compliance breaches.
• Identify, capture and understand the Compliance risks.
• Working together with external stake holders (Risk and Learning & Development Team)
• Conduct weekly audits on Team leaders, Quality monitoring and Supervision.
• Investigations of any breaches and provide feedback to team leaders and consultants.
• Provide coaching to team leaders and consultants as required assisting with the reduction of breaches.
• Oversee and maintain current policies, processes and training needs for entire division.
• Support business wide and local compliance initiatives.

• Received recognition from senior management for coaching team leaders in quality and compliance initiatives.

Loss Recoveries Consultant

May 2010 - December 2010

• Maintaining existing accounts by providing solutions for ongoing arrangements.
• Ability to interact with diverse customers and colleagues.
• Maximizing revenue from all charged off accounts to Loss Recoveries.
• Provide continuous support to all customers, so that they receive the best quality in customer service and satisfaction.
• Assisting in team activities, meetings and helping new colleagues to adapt.
• Provide continuous support as 2nd In-Charge to team leader.

• No compliance breach.
• Revenue collected equates to Tier 3 within 6 months based on customers' success and team leader's guidance and support.
• Received Certificate of call quality.

Media Sales Account Manager

Sensis Pty Ltd

February 2007 - May 2010

• Securing new and maintaining existing accounts by providing media solutions.
• Preparation of quotes, invoicing, order entry and enquiries.
• Maximizing sales revenue from both White Pages Print and Online.
• Provide continuous maintenance and support to all clients, so that they receive the best quality in customer service and satisfaction.
• Selling to existing Customer Base: $3,000 - $50,000 spend.
• Ability to interact with diverse customers and colleagues.

• Achieved sales targets and conversion rates for 2007-2009.
• Promoted from Tier 1 to 2 within 6 months based on sales success.
• Constantly recognized for my customer service by customers through referral business.
• Customer Satisfaction score of 9 out of 10.

Senior Sales/Customer Service Consultant

Sales Force, Jetstar Pty Ltd

November 2004 - February 2007

2nd In Charge

• Train new consultants on travel products and up-selling skills.
• Provide service support & assistance to new and existing customers on all travel reservation and related matters, including new sales, modification and cancellations.
• Cross-selling and up-selling of Jetstar Airways flights, holiday and products.
• Demonstrated ability to work in a busy, commercial, competitive and target-driven environment.
• Delivering excellent customer service through applying sales and service skills.
• Advise passengers of any flight cancellations or schedule changes.
• Assist with general enquiries i.e. hotline, payment methods, costs involved in changing flights, support and back up for any customer's special requests.

• Met all quarterly sales and conversion rate targets.
• Awarded "Adherence to Schedule and Team Player" annual award.
• Awarded "Beyond the Call of Service" annual award for passenger care.
• Awarded "Highest sales" award January - March '06.
• Certificate of Recognition for special services in handling suspended service, Sydney to Rockhampton.

Easton Vorster Musical Services - Events and Marketing Manager

Prior to July

• 1999 - 2001 Singapore Armed Forces - Registry Team Leader
• 1998 - 1999 Hilton Hotel Singapore - Trainee

Qualifications & Certifications

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