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NAB - Barangaroo, NSW

Any Industry
Source: uWorkin


  • Opportunity for a QA Consultant, Wealth Advice Remediation – North Sydney
  • Opportunity to work on a critical, customer focused project in NAB
  • Great opportunity to develop your advice expertise and support ongoing improvements

About the role
The Customer Response Initiative (CRI) has been established to identify, minimise or rectify inappropriate advice by completing customer advice reviews in response to regulator concerns regarding advice quality. The Quality Assurance Team (QAT) works with the CRI program to provide insights into how effectively CRI is executing its goals and deliverables within the context of established methodologies and standards.
The role will play an important part in identifying issues in incorrect application of methodologies by review teams and/or gaps in methodologies. This position will provide a platform to continue to develop your remediation skills and advice knowledge, whilst providing numerous future career development opportunities in Consumer & Wealth at NAB.

This is a fixed term contract opportunity until March 31 2022.

The successful candidate will have the following key responsibilities:

  • Re-perform cases completed by review teams by analysing financial advice given by advisers in scope to assess the appropriateness of the advice provided
  • Identify differences in assessment outcomes or logic used to arrive at an outcome (between the review team assessment and your own), citing methodology references and actions required to rectify issues
  • Prepare and discuss issues disagreed by the review teams with the internal Methodology team through reference to assessment guidelines and precedents
  • Apply the correct processes, including risk management policies, to ensure consistent processes and outcomes that align with our Customer Care Methodology and guiding principles
  • Liaise and form relationships with key support departments within the organisation to assist us in the delivery of timely service.

About you

Our ideal candidate will have;

  • Experience in the Financial Planning industry, specifically in the advice process and/or dealing with Advisers. Previous roles such as Advising, Para planning, Complaints, Compliance or Training experience desirable
  • Well demonstrated financial services industry experience through multiple roles, with sound knowledge of financial products
  • Previous experience on a remediation project as a QA is desirable
  • Advanced Microsoft Excel/Word skills
  • Ability to review advice decisions based on file documentation and supporting information and form a determination of appropriate or inappropriate advice
  • Qualified with a Diploma of Financial Planning, Advanced Diploma of Financial Planning (or to be completed ASAP), a Finance/Financial Planning degree will be highly regarded

The Benefits
From education and volunteer leave to learning benefits and banking discounts, we offer access to a wide range of employee benefits. For more information please visit here.

  • To be eligible to apply, you must have Australian or New Zealand citizenship or permanent residency status. Please note candidate screening and interviews may be conducted prior to the closing date of the job advert.

Internal Employees
Given the potential sale of MLC to IOOF, please be aware that any NAB employees applying for MLC positions will either:

In the case of secondments need to return to their NAB home role at the date of separation (currently scheduled for 31 May 2021) or;

In the case of permanent roles, an application received will imply a transfer to IOOF at time of separation.

*Please note, the sale to IOOF is still subject to APRA approval.