Summary
Overview
Work History
Education
Skills
Timeline
Generic

Madison Pitt

Brisbane

Summary

Experienced Regulatory, Compliance and Risk Consultant with a proven legal and financial services background. Trusted in providing regulatory breach subject matter expert advice to stakeholders, defining compliance boundaries, and providing objective review and challenge on the effectiveness of risk management within the business. Passionate about solving complex problems, contributing to uplifting business processes, and ensuring compliance obligations are met.

Overview

9
9
years of professional experience

Work History

Consultant, Regulatory Event Management (REM)

NAB
09.2023 - Current
  • Providing SME advice to Executive Event Owners on whether an event constitutes a Regulatory Breach.
  • Working with key stakeholders (e.g. SME’s, Legal, Compliance, Regulatory Affairs) to investigate and determine potential regulatory breaches, within required timeframes.
  • Engage with Legal and Compliance to investigate potential breaches requiring escalation and tabling at the Regulatory Event Forum (REF) where required.
  • Document accurate and informative details in the REF Memo and work with SME/DCO to document Root Cause 5 Why’s, obtaining sign off from key stakeholders, to support REF decision making.
  • Support Executive Event Owners in investigating, determining and managing potential regulatory breaches and briefing them for REF.
  • Developing regulatory notices and provide updates to report to the Regulator relevant breaches aligned to the Regulator’s requirements and expectations.
  • Monitor regulatory commitments, ensuring ongoing updates are provided to the Regulator at critical points throughout the remediation.
  • Collaborating with the broader Remediation teams (e.g., Customer Remediation and Business Execution, Customer Remediation Delivery) to quickly understand the size, shape and nature of the remediation required on the events being investigated.
  • Implement infrastructure necessary to self-manage workflow and documents in a controlled high-quality way.
  • Completing Control and Obligation Reviews of REM's existing Controls, Obligations, and Process Maps and updating where required to reflect REM's current ways of working.
  • Developing new Controls, linking Obligations, and uploading them into GRACE.

Associate, Control Room

National Australia Bank
03.2022 - 09.2023
  • Responsible for the identification, management and/or prevention of Conflict of Interests, as well as the Bank's overall conflicts management.
  • Establish, maintain and monitor adherence to NAB's Personal Conflict of Interest Policy (e.g., involved in the creation, review and challenge, and update of Controls; PACE Map creation of a Control; and weekly/monthly reporting to ensure adherence to Controls).
  • Liaise with Executives to embed business processes and/or establish management plans to mitigate employee Conflicts of Interest.
  • Support and enable Executives and senior management to understand and manage their obligations in relation to Conflicts of Interests.
  • Involved in ELT review of disclosed Conflicts of Interests.
  • Involved in preparation of data to evince NAB's commitment to ensuring effectiveness of Controls for audit and promontory.
  • Created procedural manuals, identified gaps in current workflow processes and established new workflows to be implemented.
  • Answer queries from Group Investigations, and Insider Crime and Integrity Risk.

Business Support Advisor

National Australia Bank
08.2020 - 03.2022
  • Proficient in using numerous NAB programs including Microsoft Teams, Outlook, Zoom, Excel, World, Siebel, eBOBS, Austin, weBOBS, MLS, OBPM, NABOne and PEXA.
  • Adaptability and proactivity demonstrated through delivering fulfillment support in line with functional remit and Customer Experience KPI's in multiple departments including the Deferrals and Renewals Team, BAU Checks, Settlements, Funds Confirmation and Digital Settlements.
  • Active participation in team operating rhythm to support management workflow, prioritizing work in peak periods, and continual progress or improvements of customer KPI's. For example, Funds Confirmation consists of planning ahead and prioritizing files in a fast-paced environment to meet the 10am settlement deadline in PEXA whilst also managing Same Day settlement files.
  • Subject Matter Expert (SME) in the Deferrals Drawdown and Renewals Drawdown Team. This role included hosting training sessions for colleagues.
  • Involved in numerous process improvement projects to improve the Deferrals Drawdown and Renewals Drawdown Work Instructions to maximise the team operating rhythm and in turn, generate maximum results for customers.
  • Confidently contacting bankers via Teams or Zoom to clarify/resolve issues relating to files.
  • Ability to work autonomously through following Standard Operating Procedures and Work Instructions.

Customer Service Assistant

Jones Retail Group
12.2016 - 08.2020
  • Managed incoming calls each day with utmost professionalism and knowledgeable service.
  • Listened carefully to customer instructions and prepared orders according to those preferences.
  • Collected customer feedback and made process changes to exceed customer satisfaction goals.

Legal Intern

Tankard's Law
01.2019 - 02.2019
  • Attended depositions and court proceedings and prepared summaries on cases.
  • Reviewed legal information and proofed documentation for errors.
  • Quickly learned new skills and applied them to daily tasks, improving efficiency and productivity.

Waitress

Fish489
10.2016 - 01.2018
  • Developed highly empathetic client relationships and earned reputation for exceeding service standard goals.

Education

Bachelor of Laws (Honours) -

Queensland University of Technology
11.2023

PACE Map Certification - Modelling -

National Australia Bank
06.2023

Career Qualified in Banking -

FINSIA
04.2023

Skills

  • Strong financial services laws and regulations knowledge
  • Significant experience working in risk management in a financial institution
  • Governance and reporting
  • Excellent organisational skills, communication, and stakeholder management skills
  • Demonstrated problem-solving skills
  • Excellent written and verbal communication skills with the ability to understand and convey complex information
  • Dedicated to continuous improvement and learning

Timeline

Consultant, Regulatory Event Management (REM)

NAB
09.2023 - Current

Associate, Control Room

National Australia Bank
03.2022 - 09.2023

Business Support Advisor

National Australia Bank
08.2020 - 03.2022

Legal Intern

Tankard's Law
01.2019 - 02.2019

Customer Service Assistant

Jones Retail Group
12.2016 - 08.2020

Waitress

Fish489
10.2016 - 01.2018

Career Qualified in Banking -

FINSIA

Bachelor of Laws (Honours) -

Queensland University of Technology

PACE Map Certification - Modelling -

National Australia Bank

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Madison Pitt