Craig Mcconchie Email & Phone Number

Melbourne, Vic, Au

Australia

Group Compliance Business Partner

Rosebud, Victoria, Australia

Secondment to NAB Customer Care TeamSeconded to NAB Customer Care Team to assist with volume of discussions held with NAB Home Lending Customers who have been impacted by COVID19 to a point where there is a financial impact on their ability to meet home lending repayments.Working with impacted customers to identify solutions that will assist them to manage their financial obligations without undue stress and angst.

Rosebud, Victoria, Australia

Working with customers to provide Home Lending Solutions that matched their individual circumstances and requirements.Makes appropriate product recommendations.Prospects new mortgage lending opportunities. Meet with customers to complete the application process, through to post settlement activities.Operates with authority as defined by NABFollows respective policies and procedures (incorporating Regulatory Obligations.Participates in related community efforts to promote NAB as a Corporate CitizenResponsible for entry of mortgage applications into the respective system Compilation of a complete mortgage loan file, collection and submission ofany and all documentation to allow seamless processingKnowledgeable of all products and services provided by NAB for the purpose of completenessSolid Understanding of Regulatory requirements for respective role

Mornington, Victoria, Australia

Working with customers to provide Home Lending Solutions that matched their individual circumstances and requirements.Makes appropriate product recommendations.Prospects new mortgage lending opportunities. Meet with customers to complete the application process, through to post settlement activities.Operates with authority as defined by NABFollows respective policies and procedures (incorporating Regulatory Obligations.Participates in related community efforts to promote NAB as a Corporate CitizenResponsible for entry of mortgage applications into the respective system Compilation of a complete mortgage loan file, collection and submission ofany and all documentation to allow seamless processingKnowledgeable of all products and services provided by NAB for the purpose of completenessSolid Understanding of Regulatory requirements for respective role

Mulgrave, Victoria, Australia

ResponsibilitiesResponsible for developing, setting up, maintaining and operating an effective local Compliance Management System in accordance with company requirements by: -• Managing relationships with the business to ensure compliance with regulatory obligations is maintained.• Providing strong and motivational leadership and direction to the Compliance department. • Providing the business with Compliance relevant training for internal and external stakeholders to comply with, and to raise awareness with respect to compliance obligations.• Designing and Managing the annual Compliance Second Line Monitoring program.• Providing Compliance approval/sign off for local credit related marketing material.• Investigating and responding to requests for provision of witness statements and subpoena notices as required by Law enforcement bodies• Preparing internal Compliance Committee papers, attending meetings and performing secretarial function.• Attending key management committees as compliance representative, and providing advice and preparation of materials as required• Supporting the management of the compliance framework including update and management of policies and instructions.Key Achievements• Provided guidance and assistance to Business units to enhance business process ensuring compliance with regulatory obligations was maintained whilst considering the requirements / needs of the business.• Provided direct management oversight for 1 direct report, and independent oversight of others in the absence of their direct management. • Reviewed and delivered compliance training as required.• Successfully managed the design and implementation of the Compliance Second Line Monitoring program required as part of an enforceable undertaking.• Reviewed all “finance” marketing material resulting in no Compliance issues, and enhancement to the Business unit processes.

Melbourne, Australia

Responsibilities• Update Compliance Obligations in Risksmart system• Manage & Report work status of allocated team members• Provide support to allocated team members to enable execution of project plan• Manage time to ensure completion of key deliverables• Develop strong working relationships with Management Assurance Teams• Demonstrate ongoing commitment to continuous improvement of processes to optimize team performanceKey Achievements• Successfully managed workflow to ensure that obligation relevance ratings were accurately determined and applied within the risksmart system across two Business Divisions within project timelines• Directed workflow to various team members across the divisions to ensure that team capacity was fully utilised at all times• Provided guidance, direction and support to team members as they dealt with Business Divisions and Performance Unit personnel, to allow for smooth review of overall relevance ratings.• Successfully worked with Management Assurance teams to provide guidance on interpretation of obligations, and their relevance to Business activities• Successfully worked with Management Assurance teams to provide guidance on interpretation of “Controls” and their relevance to compliance obligations that they were looking to link to (in excess of 9000 obligations and 1200 controls)

Melbourne, Australia

ResponsibilitiesEmbed Risk and Compliance framework and associated compliance policies and procedures in order to mitigate compliance riskProvide support to business to enable them to manage risk and compliance within their area of responsibilityUndertake compliance monitoring activities to identify where control improvements are required and ensure that actions are in place to make continual improvementsUndertake compliance and risk training and awarenessEnsure incidents are managed appropriatelyStakeholder engagementKey Achievements•Design and rollout “introduction to compliance” training for “Sales” Business Unit - which outlined Codes, Legislation and Obligations that impacted day to day activity•Design and rollout of “Top 20” obligation training for Region and Zone Managers•Design program of work and monthly reporting (in conjunction with “Sales” Executive General Manager) for related transactional monitoring and reporting of “at risk / high risk” locations•Onsite visits to stores that appeared in the “top 10” highest “error rate” reports•Provision of regular “training” reports to Business Units together with follow up to ensure completion •Involved in development, testing and assessment of a new Lifetime Health Cover training module that was developed.•Identified training requirements on a wider scale and acted on the business need •Involved in a number of projects that required the need for compliance advice to ensure Medibank met its key obligations and supported of the “Agile” process in order to assist project managers with delivering their outcomes on time. •Worked with allocated Business units to embed the Risk and Compliance frameworks into first line activities•Assisted Business Units with completion of Control Self-Assessment Programs that measured effectiveness of Controls against relevant obligations within Obligations Registers, and also the relevance of those obligations to the business unit

Responsibilities• Lead General Compliance Projects• Transition of Incident / Breach Database to purpose built model• Manage Business Unit financial records in conjunction with “Head of Strategy & Projects”• Business Unit General AdministrationKey Achievements• Leading “breach” project to close off 36 of 40 breaches that had been open for more than 12 months, whilst at the same time converging data from the existing Breach recording database to the new one. Additionally preparing updates on a monthly basis for the Project control board and developing new reporting process for outstanding breaches for monitoring and closure purposes• Successfully negotiated minimising Business Unit costs and reallocating them ( IE external bodies Annual fees of $189k )• Identification of finance discrepancies and having those reallocated. (i.e. Corporate Credit Card and Project expenses charged to Business Unit cost centre incorrectly )• Daily review and correction of financial accounts enabling Business unit to end financial reporting period $700k under plan and for the Breach project to end $200k under plan

Responsibilities• Design and implement compliance risk management frameworks that provide risk insight and assurance• Monitor Business units against those frameworks to allow provision of assurance to senior management that Business unit compliance frameworks were operating adequately and effectively• Manage team of two subordinates Key Achievements• Designed and implemented the Department’s Risk Methodology utilised when executing business unit risk assessments• Trained staff in use of the framework, and used framework nationally• Lead projects charged with identifying Bankers at risk of defrauding the bank and/or deviating from lending procedures and policies, leading to wider involvement on other fraud related working parties• Instigated a review of historical compliance breaches to understand what the key "Root Causes" were, reporting findings to Leadership teams and Chief risk officers for their use

Responsibilities• Provision of advice, guidance and support to Business units on Regulatory Compliance related issues• Embed and reinforce Compliance frameworks to allocated Business units• Working with Business to resolve Incidents and concerns of a regulatory natureKey Achievements• Successful Compliance relationship management of both the Business Bank and Retail Banking on a concurrent basis for a period of 12 months• Member of Nabbroker risk committee for a period in excess of 12 months• Sought out by Business units for advice on Regulatory Compliance matters• Involved in day to day activity as part of rectification of enforceable undertaking