Lauren Chan Email & Phone Number

Melbourne, Victoria, Australia

• Assist with organisational risk profiling and documenting the risk and compliance plan.• Oversee Incidents and Complaints reporting and management. Escalate these as per policy and procedures to ensure timely action is taken.• Responsible for maintaining obligations and risk registers including overseeing the treatment implementation.• Develop and complete a work programme of control testing for operational, compliance, Technology and Information Security risks.• Regularly review company procedures, practices, and documents to identify possible weaknesses or risks.• Manage employee mandatory compliance training including conducting ad-hoc training on company policies and procedures.• Compiling, and circulating the Committee papers, and following up outstanding action items• Administer Triline GRC system and maintain the currency of documents and records on Triline.

Compliance and Accreditations OfficerI am currently employed as a Compliance and Accreditations Officer at Platform Consolidated Group. My role is to provide our network of brokers with compliance support and queries on current lending guidelines of the finance industry. Responsibilities include:- Audits on operations for NCCP compliance including identification of non-compliant procedures - Preparing and maintaining NCCP documents (ie. Credit Guide, Credit Quote and Preliminary Assessment Form)- Monitoring of the CPD, EDR and PI registers and sending out reminder emails to our broker network- Preparing Agency Agreements for new brokers- Overseeing the on-boarding process of new brokers - Conducting background checks on potential brokers (i.e. ASIC Banned & Disqualified checks, Company Director searches, professional register searches, financier reference checks)- Attending ASIC and AFCA webinars to ensure current practices are up to dateIn addition I oversee the Financier Accreditations of the company and its brokers.Responsibilities include:- Requesting broker accreditations- Preparing financier accreditation packs to send out to brokers- Liaising with Financiers to understand their accreditation processes and requirements- Maintaining and updating the accreditations log - Co-ordinating transfers of existing accreditations- Educating internal BDM’s on financier expectations of brokers

Glen Waverley, Victoria, Australia

Bachelor'S Degree, Business/Commerce, General

Certificate Iv, Finance & Mortgage Broking