Compliance Framework
Loan Writer:
*
Kevin Agent
Mark Davis
Seuj Barua
Kate Allison
Sean Young
Natasha Choi
Leonardo Cagliolo
James Sarantos
Manjula Mahindajit
Anthony Hong
Jonathan De Sensi
Yaqi Yang
Steven Khoury
Barton Johnson-Baxter
Client Service Manager:
*
Anthony Chen
Barton Johnson-Baxter
Steven Khoury
Simmon Sleiman
Jessica Parry
Rebekah Sander
Vivien Mo
Josip Kostroman
Kevin Bui
Jessie Wan
Arijit Parh
Michael Failla
Jason Wang
Amber He
Jiaqi Wang
Heath Prytherch
Peter Charles
Stevenson Caliboso
Frank Chen
Matt Malik
Neil Fernando
Kirsten Haugh
Harsh Agarwal
Elaine Ozenoglu
Gerard Pirera
Not listed/Unknown
Same with Broker
File / Opportunity Name:
*
Financier
*
Adelaide Bank
AMP
ANZ
Bank of Melbourne
Bank of Queensland
Bankwest
Bluestone
Citibank
Commonwealth Bank
Connective HL Essentials by Advantedge
Connective HL Solutions by Pepper
Firstmac
ING
La Trobe Financial
Macquarie Bank
ME Bank
NAB
Pepper Money
Resimac Home Loans
St George Bank
Suncorp Bank
Virgin Money
Westpac
Liberty
RAMS
Mortgage Ezy
Other
Amount:
*
Date Settled:
*
-
Month
-
Day
Year
Date
Lending Manager Responsibility
1. Quote held and completed (only if charging a fee).
*
Yes
No
N/A
Feedback:
2. Responsible Lender - Completed Broker Checklist and Declaration.
*
Yes
No
Feedback:
3. Responsible Lender - Completed Needs Analysis.
*
Yes
No
Feedback:
4. NCCP – Credit guide completed (on CRM).
*
Yes
No
Feedback:
5. NCCP – Credit Proposal Disclosure (Signed on CRM).
*
Yes
No
Feedback:
6. NCCP – Preliminary Assessment (on CRM).
*
Yes
No
Feedback:
Client Service Manager Responsibility
1. Original Signed Financier Applications / Privacy authority scanned to CRM.
*
Yes
No
Feedback:
2. 100 point check ID held and scanned to CRM.
*
Yes
No
Feedback:
3. Strategy Sheet reflects final position &scanned to CRM.
*
Yes
No
Feedback:
4. CRM reflects final position.
*
Yes
No
Feedback:
5. Privacy Act - All TFNs removed from file.
*
Yes
No
Feedback:
6. Settled task re-assigned to Compliance Officer.
*
Yes
No
Feedback:
Subjective Compliance
1. Compliant with ELC Conflict of interest Policy.
*
Yes
No
Feedback:
2. Compliant with licence obligations.
*
Yes
No
Feedback:
3. Products offered to client are appropriate.
*
Yes
No
Feedback:
Compliance Manager
1. Register Updated with Comments by Compliance Officer.
*
Yes
No
Feedback:
2. Compliance Checklist in CRM.
*
Yes
No
Feedback:
3. Copy of final Compliance Checklist in CRM.
*
Yes
No
Feedback:
Documentation Manager
1. Print compliance feedback from e-mail.
Yes
Feedback:
2. File in sequence Sleeve order.
Yes
Feedback:
3. Archive hardcopy folder.
Yes
Feedback:
Comments
Reviewed by:
*
Nate Fosnaugh
Johnson-Baxter Barton
Pamela Cassar
Jenilyn Pagarao
Lane Jhulsadjiri
Date
*
-
Month
-
Day
Year
Date
Compliance Officer (Offshore) comment on findings
Reviewer comment (Melbourne) on failed tests
Submit
Should be Empty: