James Nah Email & Phone Number

Melbourne, Victoria, Australia

Melbourne, Victoria, Australia

Focusing on the ensuring customers are provided proper redress where there are adverse outcomes experienced from misconduct or from process/system failures.

Melbourne, Victoria, Australia

Leading a team of passionate and dedicated compliance experts to drive better outcomes for Customers and ME Banking community.

Melbourne, Australia

Led the delivery of a range of different engagements relating to addressing compliance risks faced by clients and solutions deployed include: - Advice on Operating Models - Review and rationalising Obligation Register - Review and assessing controls linked to Obligations - Performing Compliance audits

Melbourne, Australia

As the Business Risk Partner, was responsible for providing 2nd line risk oversight support for allocated business units during this period (Lending Services, Group Finance & Tax, Hubs and Shared Services).As the Compliance specialist, was responsible for providing 2nd line compliance oversight support during this period for Corporate Center functions, Global Projects, Technology, Hubs and Shared Services.Key Achievements: - Led the development of global principles for handling data aimed at addressing regulatory requirements for 8 key countries where ANZ operates (Australia, China, Hong Kong, Indonesia, New Zealand, Singapore, Taiwan and UK) - Drove the adoption and rationalisation of Global Minimum Standards (GMS) into Compliance and Operational Risk (COR) Platform with Compliance and Business stakeholders. Substantial rationalisation of records was achieved and covered different regulatory topics. - Rolled out the enterprise risk management system (COR Platform) for the Corporate Center, Technology, Hubs and Shared Services businesses by collaborating and training a range of different stakeholders.

Responsible for the team maintaining the group-wide Compliance Framework, ensuring it remains fit for purpose.Key Achievements: - Adjust the global compliance framework and drive implementation of these adjustments across all ANZ Divisions operating in 34 countries. This enables each business unit leader to demonstrate consideration of compliance risks and management of associated key controls in accordance with ANZ's operational risk management requirements. - Led the initiative to implement the Compliance Framework for ANZ Taiwan when ANZ/RBS Business was integrated after ANZ purchased RBS businesses across different Asian countries. - Worked with APEA Director of Compliance to lead compliance risk assessment workshops with APEA Compliance managers and business stakeholders to enable the formulation of country compliance plans.

Responsible for working with allocated ANZ businesses to drive capabilities to enhance management of compliance risk exposures.Key Achievements: - Maintained the ongoing measurement process that feeds the MD Assessment issued by the GGM Compliance - Performance of Compliance Reviews

Melbourne, Australia

Led a team of 15 personnel, responsible for providing accounting services (including preparation of statutory financial statements) for the corporate superannuation and public offer superannuation funds under administration. There were about a dozen funds being serviced and total net assets in total exceeded $1 billion.Key Achievements: - Completed 2003 annual reporting process within a month after joining the organisation. - Rebuilt the team to enable the provision of fund accounting services.

Melbourne, Australia

During term of employment, was part of the Assurance Team and specifically, the Financial Services Group. Key Achievements: - Completed CA Program. - Seconded to the London office for 3 months as part of the exchange program. During the secondment, managed different financial audit engagements, including the financial audit for British Telecom Pension Scheme. - Supported the specialist Superannuation Team in the role of technical specialist to adapt the firm’s global audit methodology to service superannuation audits in Australia. This involved adapting the control assessment components and the testing components of the methodology to provide compliance and financial assurance in accordance with Auditing Standards within the firm’s proprietary audit documentation software. - Managed the team who audited superannuation clients in the Melbourne office. - Seconded to AXA Holdings to prepare accounting data for their half year group consolidated figures in order for them to meet their financial reporting requirements.