Badger - Executive Coaching - Woolloongabba, QLD, Australia

Mark Badger

Woolloongabba, QLD, Australia


Executive Coaching

  • Full time
  • Part time
  • One time
  • Contract
  • Temp


Working with leaders, executives and business owners to think differently and then act.

Work History

Chief Operating Officer - Sydney

Privateer Capital

From January 2014

* Responsible for legal & compliance, finance, middle office, trading, marketing, human resources, premises and technology.
* Review AFSL requirements.
* Manage service providers like an administrator, auditor, IT, consultant, attorney and accountant.
* Responsible for executing on five-year goal to reach target asset level.
* Non trading recruitment & advise on outsourcing needs.

Non-Executive Director

Legal Process Outsourcing

From February 2012

* Assist clients to enhance productivity and cost reduction of work platforms;
* Work directly with clients to enhance product knowledge;
* Governance & Compliance requirements; and * Advise in the areas of infrastructure & strategic planning.

Consultant - Based in Brisbane

Nomura International

August 2011 - November 2011

* Supported strategic acquisition of distressed assets in Australia and New Zealand;
* Analysed target's existing litigation and vendor enforcement actions.
* Prepared FIRB application;
* Advised on bid process, mandate re organisation's infrastructure approvers; and * Reviewed and evaluated security, debt, and equity subordination.

Global Head of Legal, Wholesale Banking

Standard Chartered Bank

July 2007 - March 2011

* Led in-house team of 450 lawyers and paralegals;
* Led 15 direct reports - local and virtual interaction;
* Led team to design regulatory compliant, and suitable derivative products in accordance with Consumer Bank & Private Bank client expectations;
* Developed and implemented an onshore/offshore structured transactions, approval group for global retail/wholesale distribution in compliance with regulatory demands for product providers;
* Developed with team accelerated ISDA approval process - cleared back log of 1700 agreements;
* Developed legal and compliance risk management processes to swiftly review multiple jurisdictions - governance and regulatory compliance of funds e.g. capacity & authority, regulatory compliance, suitable and compliant cross boarder sales;
* Dodd Frank and CCP steering committee member;
* Advise FINRA/Broker dealer matters;
* Complete sign off of ASIC requirements for equity and investment businesses;
* Debt/Equity origination/IPO approval committee member;
* Support corporate advisory and structured lending businesses;
* Provide support to Special Situations Desk, Structured Finance and PE;
* Member of investment and governance committees - Responsibility & Reputational Risk, Operational Risk, Legal and Credit Risk;
* Special situations, $40m+ transactions approval committee member;
* Steering committee member on Hedge Funds, Sovereign Wealth Funds, Pension Funds & asset management strategy;
* Advise on Group acquisitions/integration and client M&A transactions.

Head of legal, Wholesale Banking, N.E. Asia

Standard Chartered Bank

July 2006 - July 2007

/ Head of Legal & Compliance Japan
* Conducted country L&C audit in anticipation of JFSA audit;
* Complete compliance policy/procedure revamp;
* Part of Japan Real Estate Investment initiative;
* Developed securities trading platform with NEA Sales Head;
* Roll out product/account opening documentation for retail and Private Bank offerings;
* Led JFSA audit task force to liaise with JFSA during their audit; and * Developed and rolled out rectification process post JFSA audit.

Regional Head of Legal, Wholesale Banking, N.E. Asia

Standard Chartered Bank

October 2001 - July 2007

* Est. first WB Legal teams in HK, Korea, Taiwan and China;
* SFC contact re compliance breaches and audit rectification;
* Provide compliance and legal support to businesses providing support to wealth management clients;
* Regional ALM task force member;
* ASIC lead for product development and sales approvals;
* Advise on regulatory/compliance guidelines - China, Japan, Taiwan, HK and Korea;
* Support NEA fixed income & ABS teams;
* Led application of QFII license as well as CBRC, CSRC product approvals;
* Provide support to all structured products issuers;
* Prepare sales and marketing materials/pricing supplements for retail products (deposits, notes, CDs);
* Prepare staff/business licencing policy and procedures;
* Supported sales/trading teams re, commodities, equity, distressed debt trading, fixed income, derivatives, lending and credit linked products;
* Support Hedge Fund initiative - SFO registration, licensing compliance for relevant staff;
* Interact with NEA regulators re audits, inspections and compliance breaches; and * Legal advisor to NEA Private Equity team.

Legal & Compliance Adviser

Standard Chartered Bank

November 1997 - October 2001

Legal Counsel Corporate Finance / Treasury

JP Morgan Chase - Sydney

November 1996 - November 1997

Registered Foreign Lawyer

Clifford Chance

August 1995 - February 1996

Trainee Solicitor / Solicitor

Ebsworth & Ebsworth

September 1992 - February 1995

Qualifications & Certifications

Bond University Queensland

Institute of Executive Coaching and Leadership

Bond University Queensland

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