Adam Basa Email & Phone Number

Australia

Sydney, New South Wales, Australia

Lead and manage a team of Financial Crime Specialists, who carry out investigations across ANZ’s Wealth business (Superannuation, Investment and Insurance). Involving the de-identification of generated and escalated alerts, Enhanced Customer Due Diligence (ECDD), Ongoing Customer Due Diligence (OCDD), Transaction Monitoring Services (TMS) concerns and any subsequent regulatory reporting of AML/CTF and Sanctions mattersProvide key support to Senior Leaders and Separation streams with the… Show more Lead and manage a team of Financial Crime Specialists, who carry out investigations across ANZ’s Wealth business (Superannuation, Investment and Insurance). Involving the de-identification of generated and escalated alerts, Enhanced Customer Due Diligence (ECDD), Ongoing Customer Due Diligence (OCDD), Transaction Monitoring Services (TMS) concerns and any subsequent regulatory reporting of AML/CTF and Sanctions mattersProvide key support to Senior Leaders and Separation streams with the delivery of timely Governance meetings and engagement across multiple teams to achieve a better outcome for stakeholders. Ensured the required teams service targets were achieved and performance standards are met, while working collaboratively to exceed both short- and long-term objectives.Facilitated the ongoing development and engagement of our team, by modeling the correct procedures and process, speaking openly and thoughtfully, while supporting and help drive more meaningful check in conversations allowing the team to find the courage to attempt and expose themselves to new experiences and gain the confidence to expand their knowledge/skills. Show less

Sydney, New South Wales, Australia

Leading and managing a team of Investigators, who carry out investigations across ANZ’s Australian footprint involving serious misconduct, corruption, bribery, money laundering, internal fraud allegations, whistleblowing cases and major reputational risk issues against ANZ employees.Provide key support to the Head of Group Integrity and Whistleblower Program, including assessment, investigation, management and oversight, remediation, and prevention of issue recurrence for disclosures… Show more Leading and managing a team of Investigators, who carry out investigations across ANZ’s Australian footprint involving serious misconduct, corruption, bribery, money laundering, internal fraud allegations, whistleblowing cases and major reputational risk issues against ANZ employees.Provide key support to the Head of Group Integrity and Whistleblower Program, including assessment, investigation, management and oversight, remediation, and prevention of issue recurrence for disclosures. Aided in the facilitation of Business and Regulatory reporting, record keeping, training, communications and whistleblower care and support.Ensure timely reporting and analysis of cases to key stakeholders on; case management tools, other systems including root cause analysis, recommended gap control, current trends, emerging threats, major events and mitigation activities.Provide and facilitate ongoing development of a highly engaged and motivated Investigations team across Australia, while embracing, driving and supporting change. With a goal to provide a professional, timely and efficient investigative service to business units across Australia that is independent, fair and factual. Show less

Sydney, New South Wales, Australia

Lead and manage the investigations function into serious misconduct, corruption, internal fraud allegations against ANZ employees - acting as the initial reference point and subject matter expert to staff across the Global Wealth Division for all investigation matters. Identify, develop, co-ordinate and implement appropriate fraud training and awareness activities. Strengthened fraud risk management capabilities and assisted with implementation of effective fraud risk strategies and… Show more Lead and manage the investigations function into serious misconduct, corruption, internal fraud allegations against ANZ employees - acting as the initial reference point and subject matter expert to staff across the Global Wealth Division for all investigation matters. Identify, develop, co-ordinate and implement appropriate fraud training and awareness activities. Strengthened fraud risk management capabilities and assisted with implementation of effective fraud risk strategies and processes across the Global Wealth Division. Provide strategic advice to the Global Wealth Division to reduce financial loss with respect to Fraud Risk and through control gaps identified during investigations.Maintained and strengthened relationships with key Division/Business Unit stakeholders and participate in key fraud risk industry groupsAssisted in the development and implementation of the divisional strategy with appropriate initiatives for the prevention, detection and management of fraud risk. Show less

Sydney, New South Wales, Australia

Reconstruction of adviser clients files to establishing the client’s circumstances, needs and objectives to determine if the advice provided had a reasonable basis and further review with client investigation to identify occurrences of fraud. Assisted in developing a client file review with a focus on fraud and theft of customer fundsCreation and delivery of client interviews, which were held in conjunction with both the Ernst & Young forensic team and internal Group Investigation… Show more Reconstruction of adviser clients files to establishing the client’s circumstances, needs and objectives to determine if the advice provided had a reasonable basis and further review with client investigation to identify occurrences of fraud. Assisted in developing a client file review with a focus on fraud and theft of customer fundsCreation and delivery of client interviews, which were held in conjunction with both the Ernst & Young forensic team and internal Group Investigation team, to understand the relationship clients had with their adviser and to establish if the adviser provided inappropriate advice or committed fraud. Establish ongoing support and training to the team, with any technical, compliance and financial planning related queries.Aided in developing a remediation strategy including the determination or appropriate next steps and client outcomes for compensation. Show less

Sydney, New South Wales, Australia

Sydney, New South Wales, Australia

Provide holistic financial planning advice to new and existing client base.Coached and mentored junior planners to develop their individual skill sets aiding them to reach their individual and team revenue targets. Developed and implemented canvassing of orphan client database to generate new business and move clients in to a fee for service model.Successfully managed an ongoing service client base, consistently met required targets and maintained a high level of… Show more Provide holistic financial planning advice to new and existing client base.Coached and mentored junior planners to develop their individual skill sets aiding them to reach their individual and team revenue targets. Developed and implemented canvassing of orphan client database to generate new business and move clients in to a fee for service model.Successfully managed an ongoing service client base, consistently met required targets and maintained a high level of compliance. Show less

Sydney, New South Wales, Australia

Provide holistic financial planning advice to new and existing client base and Business development of a team of 23 referrers – Mortgage BrokersEstablished, implemented and managed the training and development of a team of mortgage brokers to incorporate the value of risk advice for clients in their own businessesIncreased the revenue of the planning business through the successful alignment of the mortgage brokers and their businesses

Sydney, New South Wales, Australia

Provide advice to clients regarding investment, superannuation and risk needs.Developed and maintained relationships with clients and other banking partners. Consistently met targets with high client engagement and satisfaction scores achieved

Sydney, New South Wales, Australia

Provide personal risk advice to clients.Key client and finance goals consistently met, with high level of customer satisfaction reported through performance appraisal and other feedback systems

Certified Anti-Money Laundering Specialist, Aml And Financial Crime Prevention

Self Managed Super Fund Accreditation (Smsf), Financial Planning And Services

Diploma Of Financial Services (Financial Planning), Financial Planning And Services

Diploma Of Business (Real Estate Management), Real Estate