Associate, Compliance Review
Build your career at NAB and join the Compliance review team as an Associate, Compliance review
Summary about this job
Compliance & Risk
Company: National Australia Bank
Location: Brisbane
Work type: Full Time
Salary: n\a
Phone: +61-8-1588-4562
Fax: +61-2-6455-1699
E-mail: n\a
Site: n\a
Detail information about job Associate, Compliance Review. Terms and conditions vacancy
- Fantastic career opportunity
- Bring your audit experience to this rewarding role
We know that to be Australia and New Zealand's most respected bank, we need to be good with money. And we need to be just as good with people too. That is why we've built our business on understanding and supporting our customers and our people to achieve their aspirations.
We have an exciting opportunity within NAB's Advice audit team in a role that will see you consistently identify compliance risk through regular audit of client files and adviser practices. You will be a vital part in protecting our customers and advisers through your ability to deliver professional standards, compliance, mitigating risk and actively finding opportunities to improve standards and procedures on a day to day basis
In addition, your key responsibilities will also include; but are not limited to:
- Undertake an audit of client advice files and adviser businesses to identify noncompliance within Licensee Standards and prepare audit reports within relevant timeframes to capture any.
- Provide feedback and audit findings to advisers and outline opportunities for improvement.
- Prepare audit reports within timeframes to outline instances of non-compliance with Licensee Standards. Reports must be accurate, insightful and succinct in order to enable the Associate, Compliance Coach to coach improved compliance outcomes.
- Build strong working relationships with key stakeholders to facilitate desired outcomes.
- From time to time, participate in business projects that may require specialised advice knowledge and/or understanding of Licensee Standards.
To be successful in this role you will have the following attributes:
- RG146 is a mandatory requirement for this role.
- Financial Services Experience
- Continuous improvement and compliance mindset
- Experience within Advice Audit
To be eligible to apply, you must have Australian or New Zealand citizenship or permanent residency status. We embrace diversity of thought, style and working arrangements to ensure our workforce is representative of the community that we serve.
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