Andrew Factor Email & Phone Number

Sydney

• Triaging and completing compliance assessments for all incidents and assessing for potential reporting to regulators.• Preparing breach reports to regulators, and assisting with regulator engagement.• Preparing notifications to third parties (including the Superannuation Trustee) to ensure HUB24 meets is contractual obligations.• Driving closure of incidents, actions and rectification activities and setting closure standards.• Helping reduce the risk of occurrence of issues and incidents by working with Line 1 on process improvement and control design and effectiveness.• Ensuring compliance with HUB24’s risk management framework, including the Incident and Breach Management Policy.• Leading the identification of insights, themes, and trends from compliance incidents, including with respect to root causes.• Generating insights and reporting on incidents and breaches, performing thematic reviews, and developing recommendations for process and controls uplift.• Preparing regular and ad hoc reporting and presentations to management and entity-level Boards.

• Manage/oversee Incidents including Compliance Breaches • Regularly review Service Provider reporting and identify issues that are Incidents which must be overseen by the STO• Manage IDR complaints, including sample checking of Service Provider responses • Manage EDR complaints fairly and reasonably having regard to the member’s best interests and the Complaint Management Policy

Sydney, New South Wales, Australia

• Review compliance attestations, regular reporting, incident reports and progress towards implementing action items from past onsite reviews • Undertake due diligence related to the on-boarding of superannuation funds and service providers • Management of incident and breaches• Management of fund external audits and internal audits of the STO• Review service provider reporting to ensure agreed service level are met

Melbourne, Victoria, Australia

Melbourne, Australia

• Perform Regulatory, Quality & Compliance On Road & Desk Audits• Perform Investigations • Manage Projects• Collection of Evidence• Perform Risk Analysis• Data Management• Educate Industry participants

• Investigate consumer complaints in an efficient, effective ad timely manner with a focus on delivering outcomes that change inappropriate taxi industry participants behaviour• Undertake case management functions in line with prescribed procedures and ensure the timely completion of investigations into consumer complaints regarding CPVV regulated industries• Provide recommendations to senior management to apply appropriate action against an accredited industry participants where breaches of regulations have been identified• Provide accurate and timely advice to industry participants to facilitate voluntary compliance with relevant legal and regulatory requirements• Interview drivers via face to face in relation to allegations made by complainants• Analyse data obtained by the Booking Network Service (BSP) and complainants• Preparation of high quality written correspondence to complainants and Stakeholders• Preparation of complaints manual• Analysing and implementing industry relevant Regulations and Acts, • Preparation of Infringement notices to drivers

Oakleigh, Victoria, Australia

• Providing legal advice to clients• Undertaking ongoing casework• Briefing Counsel

Master Of Laws - Llm

Education record

Bachelor Of Arts And Science

International Exchange Program, Arts And Science

Certificate In Governance And Risk Management, Governance And Risk Management

Assessing, Analysing and Treating Risk Meeting Compliance Requirements Organisational Resilience (Business Continuity and Crisis.