Navin Nankani Email & Phone Number

Sydney, Nsw, Au

Sydney, New South Wales, Australia

Part of the Compliance Advisory team within Corporate Governance, providing line 2 advisory support to the newly created financial advice business unit. The role required me to oversee the compliance function at the AFSL level and management of group compliance framework including Conflicts of Interest, group & local controls and Privacy as well as facilitating compliance reports to the group central compliance team and Board.

Sydney, Australia

Part of the Deloitte Managed Solutions (DMS) within Audit & Assurance function, managed various roles over 5 different remediation projects as a project lead, quality officer and developed scope for potential clients. The role also involved business development and service offerings analysis for potential clients based on regulatory changes.

Sydney, New South Wales, Australia

Part of the AMP governance team supporting ipac and AFSL equity partners on various compliance function post-acquisition of AXA group in Australia. The role comprised of driving a change program and minimizing impact on AFSL equity partner business during merger in addition to all BAU activities as a Professional Standard Manager.

Sydney, New South Wales, Australia

ipac part of AXA group had equity partnership arrangements with small to medium financial planning AFSLs. The Professional Standards Manager role was to provide compliance support to 11 AFSLs by engaging in annual licensee review and ensuring successful implementation of regulatory requirements and group compliance framework. Responsibilities included:SME in Future of Financial Advice (FOFA) projects eg. Best Interest Duties, Annual Fee Disclosure Statements (AFDS) & Opt In.Engage in continuous development building a rich knowledge of compliance issues within the Australian Financial Services industry.Ensure dealer group's policies and procedures continue to meet regulatory standards and were adhered to throught the dealer group.Sign off advice templates, business rules, compliance policies and other promotional materials.Manage relationships with stakeholders including various AFSL, practice principals, authorised representatives and senior management.Update AFSL conditions, onboard & offboard advisers on FARMaintain adviser training records

Sydney, New South Wales, Australia

Part of Commonwealth Bank Group, the role was responsible to provide compliance support to employed and self-employed adviser network. Implemented positive compliance culture and increased compliance awareness by setting up point of contact for advisers on any compliance queries. Responsibilities included:Manage the team of Policy & Governance specialists.Identify compliance issues and provide remedial actionsReport major compliance breaches to the senior management.Foster a compliance culture through the setting of professional standards.Coordination, preparation and presentation of regular compliance committee papers and board reports.

Sydney, New South Wales, Australia

Part of Commonwealth Bank Group, the role was responsible to provide compliance support to employed and self-employed adviser network. Implemented positive compliance culture. I was tasked to manage advice policies & standards and incidents & breach management. Provide ongoing compliance support to advisers.Ensure compliance of Statement of Advice provided by authorised representatives.Ensure mandatory licensee obligations, current legislation.Manage relationship with internal/external compliance and risk management stakeholders.Ensure key risk projects are effectively implemented.

Sydney, Australia

Part of Commonwealth Bank Group, the role was responsible to provide compliance support to employed and self-employed adviser network and conduct financial adviser reviews on quality of advice. Conduct field audit of authorised representatives.Periodic examination of authorised representatives to assess risk processes & policies.Feedback to authorised representatives on advice related issues identified during audit.Provide written report on financial planning audit.Provide ongoing technical support.

Sydney, Australia

- Provide full financial planning & product advice to clients.- Prepare Financial Plan / Statement of Advice.- Provide advice on suitable products eg. Managed Investment, Superannuation, Life Insurance.

Chatswood Area, Sydney

- Provide home loan advice.- Training & development of staff.- Finding new business opportunities.- Branch Management.

Bachelor Of Business, Major In Marketing, Complete

Advance Diploma Of Financial Planning, Financial Planning And Services, Complete

Associate Diploma In Sales & Marketing, Sales & Marketing, Complete

Bachelor Of Commerce (Bcom), Banking And Finance

Certificate Iv In Microcomputer Technology, Information Technology, Complete

Diploma In Microcomputer Business Applications, Information Technology, Complete