A BIG 4 AUSTRALIAN BANK A SHORTAGE OF COMPLIANCE AND PRE-VET RESOURCE
The task To source, assess, interview and on-board associates within a 2.5-week timeframe from the initial resource request. The Bank had a ski ls shortage of compliance assurance analysts as we l as gaps in their pre-vetting teams whose role was to conduct comprehensive checks across a l the financial advisors within the Bank’s advice […]
WEALTH MANAGEMENT COMPANY
The task When the Regulator, as a result of thematic review activity, highlighted serious risks for investors in Unregulated Colective Investment Scheme (UCIS) funds we were caled upon to assist with a series of investigations to establish the extent of exposure, and risk, within businesses that made up the wealth management division of our client, […]
