Vice President- Financial Crime Operations (CDD/Periodic Reviews)

Purpose

Capabilities, Experience & Qualification Requirements

Why do we need this role?

The primary purpose of this role is to ensure NAB meets its obligations in relation to Know Your Customer (KYC) - Customer Onboarding, Ongoing and Enhanced Customer Due Diligence. This role is responsible for leading a teams of analysts with responsibility for conducting Ongoing Customer Due Diligence reviews for medium risk customer This role is also responsible for providing leadership, coaching, development and meeting operational SLAs

What and how is it expected to contribute to results?

Supporting the management and coordination Employees are responsible for work which is performed within established routines, methods and procedures This role has shared responsibility for Financial Crime compliance across the bank Proactively manage risk, meeting all policy and compliance requirements; perform controls; adhere to process and procedures pertinent to role; and escalate events, issues or breaches as they are identified (risk accountability forms part of all roles, as everyone is responsible for managing risk and compliance).

Essential capabilities

oLeadership and coaching - Ability to build, lead and motivate teams, ability to negotiate and build consensus oStrong time management and organisation skills Outstanding written and verbal communication skills oCustomer driven commercial approach to business Build capability of team members to ensure the delivery of expected client experience Experience in making sound decisions and judgments oAbility to adapt to changing priorities Ability to analyse qualitative and quantitative data and draw conclusions Knowledge and experience of using Active Ops, AOM, Focus IQ or any productivity tool

Other capabilities

Strong understanding of risk and controls Ability to problem solve oAbility to clearly articulate risk Understanding of AML/CTF Legislation

Experience

10+ years of experience of working in Customer Due Diligence ( CDD ) or KYC Operations for individual and non-individual customers ) in financial institutions Overall 12+ years of experience working in Banking operations in similar capacities. o5+ years experience in people leadership roles managing a team of 10+ FTE in CDD Operations / Financial Crime operations

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Qualification Requirements

Bachelors Degree (desirable) Distinctive Leadership Good to have, ACAMS or equivalent certification.

Key Decisions

Key Accountabilities

This role will lead a team of analysts responsible for execution of Ongoing Customer Due Diligence to ensure financial crime compliance Coach and build analyst capability in risk-based Ongoing Customer Due Diligence oLiaise with key business stakeholders to understand business specific requirements oand concerns oMonitor teams performance against agreed SLA's oUtilise the Active Operations Management tool efficiently to manage cost, quality oand service oAction all regulatory/internal audit items within prescribed timelines Ensure compliance to all required policies, processes and training oEnsure all change requirements, delivery and implementation are in line with NAB’s risk tolerance in order to meet Financial Crime regulatory and legal obligations

Key tasks; accountabilities and challenges of this role

ensuring Ongoing Customer Due Diligence reviews are completed within SLA Conducting regular buzz meetings with team ensure workforce planning non-negotiables are adhered to complete regular 1:1 conversations with team members coach and build team member capability respond to QA feedback and meet QA completion SLA identify process improvement opportunities conduct case review sessions with team ensure team availability when on inbound call roster

Key Interfaces

Key Performance Indicators

Which business units will this role be reliant on and in what capacity?

oCDD Advisory OCDD Leadership oCDD Quality Assurance assigned workload is completed within SLA oMeet the KPI’s which are defined in the Ongoing Customer Due Diligence Manager Performance Scorecard