Oscar Liang
Financial Services
Summary
A detail-oriented professional with a robust compliance background in banking and financial services, gained through working in various roles in National Australia Bank, Macquarie Group, Parliament of New South Wales, KPMG, and AMP, Demonstrated expertise in conducting comprehensive case investigation, performing in-depth project and risk analysis, and producing clear, actionable reports. Skilled in translating complex regulatory and financial information into plain English for diverse audiences, ensuring informed decision-making. Strong capacity for authoring comprehensive governance frameworks and compliance documentation, contributing to policy development and process improvement at an organisation's level. Proven ability to provide well-researched insights that guide strategic direction.
Overview
12
12
years of professional experience
3
3
Languages
Work History
Quality Assurance Consultant (JBwere)
National Australia Bank
03.2025 - Current
- Independently review assessed cases to confirm adherence to the approved methodology, and ensure outcomes are justified, consistent and backed by evidence.
- Validate that case reviewers are following the remediation framework, policies and regulatory guidelines derived from ASIC RG 256 and 175.
- Run 'case clinic' to provide a on-balance decision on case outcome where the case considered 'unique' and outside the spectrum of existing guidelines and methodologies.
- Participate and lead calibration sessions to align interpretation of remediation criteria across reviews.
Peer Reviewer- ASF File Assessment (JBwere)
National Australia Bank
06.2024 - 03.2025
- Ensure that the case outcome aligns with internal guidelines and regulatory standards - ASIC RG 256 and 175.
- Validate that the assessors are following consistent methodologies and frameworks across cases.
- Provide structured feedback to assessors to improve quality and consistency to ensure clients will received a fair outcome.
Consultant - ASF File Assessment (JBwere)
National Australia Bank
11.2023 - 06.2024
- Conduct comprehensive reviews and quality assurance of case investigations, ensuring adherence to high standards of regulatory compliance.
- Provide guidance and training to junior staff, demonstrating leadership in knowledge transfer and process improvement.
- Author detailed reports on findings, synthesising complex regulatory information for senior stakeholders.
PMO Executive - Programs, Strategies & Transformation
Macquarie Group
02.2023 - 08.2023
- Manage global transformation projects across multiple domains, including finance, risk, and digital strategy, ensuring accurate reporting for leadership.
- Collaborate with cross-functional teams to produce high-quality reports and insights, supporting data-driven decision-making.
- Develop governance frameworks, streamlining compliance and risk management processes to ensure alignment with regulatory standards.
- Provide thought leadership in risk management, delivering presentations and training materials to enhance organisational compliance culture.
PMO Advisor - Financial Services and Governance Branch
Parliament of New South Wales
09.2022 - 02.2023
- Assist research and analysis on project and governance matters to support decision-making by executive teams and committees.
- Deliver clear and concise reports using Smartsheet, translating complex project data and financial terminology for non-technical audiences.
- Manage key project governance documentation and risk registers, supporting the effective governance of parliamentary projects.
- Build strong relationships with internal and external stakeholders, resolving issues and promoting collaboration.
Case Assessment Quality Control
KPMG
05.2021 - 08.2022
- Ensure case assessed has appropriate rationale and evidence to support conclusion. This involves evaluation on whether the advice was appropriate and whether the client best interest duties were met.
- Identify common trends and errors made by case assessors and provide constructive feedback accordingly. This involves having a difficult conversation with case assessors as feedback will impact their quality scorecard and contract.
- Work cross-functionally in particular with the actuary team to ensure the compensation calculation is accurate.
Senior Consultant (Case Assessment)
KPMG
04.2019 - 04.2020
- Conduct in-depth reviews of financial advice and serious misconduct cases, presenting well-researched findings to senior stakeholders.
- Lead investigations into advisor misconduct and breaches, identifying root causes and formulating solutions to improve compliance and governance.
- Develop comprehensive reports that distilled complex regulatory issues into actionable insights, supporting data-driven decision-making for leadership teams.
- Ensure regulatory requirements were met, continuously monitoring and refining team policies to align with industry best practices.
- Actively contribute to internal policy development and regulatory compliance strategy, providing thought leadership within the case assessment team.
Advice Remediation Manager
AMP
04.2020 - 04.2021
- Manage client remediation programs, ensuring compliance with regulatory frameworks and delivering strategic reports to leadership.
- Liaise with regulators, maintaining AMP's compliance with evolving financial regulations and providing expert analysis of complex issues.
- Conduct in-depth research on regulatory changes, advising senior management on necessary adjustments to business practices.
Senior Paraplanner
AMP
05.2016 - 04.2019
- Create complex strategies that involve cross-border tax planning, multi-generation wealth transfer and self-managed super fund.
- Ensure recommendations align with Best Interest Duty (BID)
- Oversee Enhanced Due Diligence (EDO) for Politically Exposed Persons (PEPs), cross-border clients and complex trusts.
- Evaluate product suitability and flag high-risk investments that involve crypto and unregulated schemes that may breach fiduciary rules.
- Provide ongoing training to junior paraplanners and newly onboarded financial advisors on new regulations to ensure compliance rules every piece of financial advice is legally defensible, ethical and client-centric.
Paraplanner
AMP
09.2015 - 05.2016
- Produce detailed advice documents in line with ASIC regulatory guidance, ensuring compliance with statutory obligations and internal quality standards.
- Disclosures: Verify that fees, conflicts of interest, and risks are transparently disclosed.
- Record keeping: Maintain audit-ready files for client interactions, recommendations and approvals.
- Anti-money laundering (AML): Screen clients sanctions lists and report suspicious activity per Financial Action Task Force (FATF) guidelines.
- Author and implement compliance tools and frameworks to ensure that regulatory changes were effectively integrated into business practices, supporting the advice business and AMP-Affiliated licensee advisors.
- Ensured compliance with regulatory requirements by staying current on industry rules, regulations, and standards.
Associate Advisor / Financial Planning Assistant
SWU Financial Planning
02.2014 - 09.2015
- Assist in onboarding new clients, gathering financial data, risk profiles and goals.
- Create legal document such as Statement of Advice outlining recommended financial strategies, product and services tailored to the client's goals and circumstances. It is a legal requirement in Australia under the Corporations Act 2001.
- Partnered with other professionals, such as Estate Planning lawyers, accountants and mortgage brokers, when necessary to address specific client needs comprehensively.
- Facilitated productive client meetings by preparing agendas, pertinent documents, and insightful analysis beforehand.
- Cultivated strong relationships with clients through regular communication and attentive listening.
- Help implement firm-wide compliance training for new hires.
Education
Governance and Risk Management
Governance Institute of Australia
Sydney, Australia 01/2022 - 01/2023
Accredited Listed Products Advice Accreditation (ALPA) - ASIC RG146
Kaplan Professional
04-2018
Gearing and SMSF Accreditation - ASIC RG146
Kaplan Professional
01.2016 - 01/2017
Diploma of Financial Planning - ASIC RG146
Kaplan Professional
01.2014 - 01/2015
M.D. - Banking & Finance
University of New South Wales
01/2012 - 01/2014
BBA - Finance & Economics
Western Sydney University
01/2009 - 01/2012
Skills
- Research
- Analysis
- Report Writing
- Compliance
- Risk Management
- Governance
- Project Management
- Financial Services
- Regulatory Compliance
- Data Analysis
- Leadership
- Training
- Policy Development
- Stakeholder Management
- Quality Assurance
- Process Improvement
Interests
Martial Arts - Purple belt in Brazilian Jiu Jitsu
Awards
- Performer of the Month (October 2019 at KPMG)
- Performer of the Quarter (April 2022 at KPMG)
Strengths
- Naturally curious: My curiosity drives me to continuously learn, ask insightful questions, and research innovative solutions.
- Critical thinker: Ability to analyse information, evaluate different perspectives, and make sound, reasoned decisions, and provide fair feedback to junior team members after checking their work.
- Competitive: Always strive to be the top performer for the team while maintaining a healthy competition environment for growth.
Timeline
Quality Assurance Consultant (JBwere)
National Australia Bank
03.2025 - Current
Peer Reviewer- ASF File Assessment (JBwere)
National Australia Bank
06.2024 - 03.2025
Consultant - ASF File Assessment (JBwere)
National Australia Bank
11.2023 - 06.2024
PMO Executive - Programs, Strategies & Transformation
Macquarie Group
02.2023 - 08.2023
PMO Advisor - Financial Services and Governance Branch
Parliament of New South Wales
09.2022 - 02.2023
Case Assessment Quality Control
KPMG
05.2021 - 08.2022
Advice Remediation Manager
AMP
04.2020 - 04.2021
Senior Consultant (Case Assessment)
KPMG
04.2019 - 04.2020
Senior Paraplanner
AMP
05.2016 - 04.2019
Gearing and SMSF Accreditation - ASIC RG146
Kaplan Professional
01.2016 - 01/2017
Paraplanner
AMP
09.2015 - 05.2016
Associate Advisor / Financial Planning Assistant
SWU Financial Planning
02.2014 - 09.2015
Diploma of Financial Planning - ASIC RG146
Kaplan Professional
01.2014 - 01/2015
Governance and Risk Management
Governance Institute of Australia
01/2022 - 01/2023
Accredited Listed Products Advice Accreditation (ALPA) - ASIC RG146
Kaplan Professional
M.D. - Banking & Finance
University of New South Wales
01/2012 - 01/2014
BBA - Finance & Economics
Western Sydney University
01/2009 - 01/2012
Similar Profiles
Jagdish ChandraJagdish Chandra
Network Security Consultant (Contractor) at Quess Corp (Client-National Australia Bank)Network Security Consultant (Contractor) at Quess Corp (Client-National Australia Bank)
Sima SalariSima Salari
Associate Director - Governance at National Australia BankAssociate Director - Governance at National Australia Bank
Andrew JacksonAndrew Jackson
Financial Planner at National Australia BankFinancial Planner at National Australia Bank
Marius GramlichMarius Gramlich
Part-Time - (Senior) Research Assistant at University of LiechtensteinPart-Time - (Senior) Research Assistant at University of Liechtenstein
Dr Suleman Khan MRCPI CCT FRCPDr Suleman Khan MRCPI CCT FRCP
Consultant Rheumatologist (Full-time) at Freeman HospitalConsultant Rheumatologist (Full-time) at Freeman Hospital
