Compliance

NAB Wealth (MLC)

November 2014 – June 2017

Business benefits

  • Meet compliance reporting obligations
  • Amend documentation to reflect superannuation changes
  • Ensure new business, maintenance and payments teams comply with expanded regulatory requirements.
  • Ensure client meets compliance reporting obligations.

Tasks

  • Develop procedures to assist business teams obtain the required data and complete compliance reports.
  • Prepare and review deeds of amendment, based on prepared templates, to support superannuation changes.
  • Update existing work instructions to ensure existing teams comply with additional regulatory requirements.
  • Develop work instructions for a new team established to provide support for the additional regulatory requirements.
  • Develop procedures to assist business teams compile the required data and complete compliance reports.