Shweta Sharma
Melbourne,Australia
Summary
Consultant with extensive experience at NAB, specializing in regulatory compliance and dispute resolution. Delivered a 20% reduction in turnaround time through effective management of complex investigations and stakeholder engagement. Proficient in analytical thinking and communication, facilitating successful customer remediation and regulatory reporting outcomes.
Overview
18
18
years of professional experience
Work History
Consultant – Regulatory Event Management
NAB
07.2023 - Current
- Conducted investigations into over 150 regulatory breaches annually, achieving 95% resolution by deadlines.
- Collaborated with stakeholders including SMEs, Legal, Compliance, and Regulatory Affairs to assess breach potential.
- Provided subject matter expertise to event owners for effective breach management and investigation.
- Developed regulatory notices to update regulators on breach status and progress.
- Supported executive event owners in preparation for Regulatory Event Forum meetings.
- Monitored regulatory commitments, ensuring timely updates were communicated to regulators during remediation.
- Analyzed large-scale remediation data with Remediation team to identify customer cohorts and quantify exposure.
Consultant – Business Dispute Resolution
NAB
01.2021 - 07.2023
- Resolved complaints within specified timeframe under RG271 guidelines through thorough investigation and analysis.
- Achieved 20% reduction in dispute resolution turnaround time by enhancing processes.
- Engaged with customers and stakeholders to identify root causes of issues for timely resolutions.
- Managed complete end-to-end complaint process, ensuring adherence to quality standards.
- Provided training and coaching to new team members on compliance and quality measures.
- Contributed to increased team capability and engagement through targeted initiatives.
- Assisted External Dispute Resolution team with complex cases as needed.
- Proactively monitored risk and assurance requirements to mitigate potential issues.
Consultant – Customer Remediation Project
NAB
02.2020 - 12.2020
- Spearheaded investigations and negotiations, achieving successful remediation outcomes.
- Led remediation projects impacting over 50,000 customers, ensuring regulatory compliance.
- Cultivated strong stakeholder relationships to enhance trust and advocacy.
- Created and delivered concise progress reports, ensuring data accuracy and regulatory alignment.
- Drove continuous improvements in remediation processes to enhance efficiency.
Business Banker – Commercial Broker Connect
NAB
10.2019 - 02.2020
- Managed relationships with Tier 3 and Tier 4 broker-aligned small business customers.
- Delivered comprehensive banking solutions that enhanced customer advocacy and propelled portfolio growth.
- Oversaw risk and compliance measures for broker-aligned clients, ensuring adherence to regulations.
Associate – Commercial Broker
NAB
02.2018 - 10.2019
- Supported commercial lending transactions and onboarding processes.
- Ensured customer due diligence, maintained compliance, and enhanced data accuracy.
- Strengthened broker and banker relationships to drive service improvements.
Associate – Compliance Assurance (aligned to Home Lending Division)
ANZ
01.2016 - 01.2017
- Executed annual assurance testing and monitoring for end-to-end home loan applications.
- Prepared and facilitated reporting on assurance findings for business heads.
- Advised stakeholders regarding updates on legislative and regulatory changes.
- Managed inboxes and addressed queries raised by business units as needed.
- Maintained compliance registers, including ACL obligations and related controls.
- Monitored adherence to regulatory requirements and internal policies.
- Oversaw compliance with Credit License obligations, incidents, breaches, training, and privacy policies.
- Provided training and coaching to new team members to ensure quality standards.
Assistant Manager – Client Services, Home Lending
ANZ
01.2015 - 01.2016
- Trained new employees on company policies and operational procedures effectively.
- Established processes for monitoring customer satisfaction levels.
Project Analyst - Quality Control, Home Lending
ANZ
01.2014 - 01.2015
Team Leader – ANZ Trustees & Private Bank
ANZ Trustees
01.2011 - 01.2014
Fulfilment Officer
ANZ
01.2009 - 01.2011
Merchant Disputes Analyst
ANZ India
01.2008 - 01.2009
Education
Career Qualified in Banking - Baking and Finance
FINSIA
01.2022
AFSL Tier 2 - Banking and Finance
Kaplan Australia
01.2018
Diploma of Counselling - Mental Health Counseling (Youth)
Careers Australia
01.2017
Certificate III - Business Administration
TAFE
01.2012
Certificate of Introduction Learning - Lean Six Sigma
01.2006
Bachelor of Arts -
01.2004
Skills
- Risk and compliance management
- Regulatory compliance
- Regulatory reporting
- AML, KYC, and due diligence
- Stakeholder engagement
- Dispute resolution
- Analytical thinking
- Customer relationship management
- Training and coaching
- Customer remediation
- Complaint management
- Team collaboration
- Effective communication
- Problem solving
- Attention to detail
- Time management
- Requirements gathering
- Quality assurance
Accomplishments
- Awarded for Living the Values in Specialised Business (Nominated by Executive).
- Received Excellent Quality and Customer Service Award.
- Won Outstanding Customer Service Award three consecutive months.
- Recognized for Outstanding Performance in Insurance Writings.
- Successful mentor and training material designer for new and existing employees.
References
Available on request
Timeline
Consultant – Regulatory Event Management
NAB
07.2023 - Current
Consultant – Business Dispute Resolution
NAB
01.2021 - 07.2023
Consultant – Customer Remediation Project
NAB
02.2020 - 12.2020
Business Banker – Commercial Broker Connect
NAB
10.2019 - 02.2020
Associate – Commercial Broker
NAB
02.2018 - 10.2019
Associate – Compliance Assurance (aligned to Home Lending Division)
ANZ
01.2016 - 01.2017
Assistant Manager – Client Services, Home Lending
ANZ
01.2015 - 01.2016
Project Analyst - Quality Control, Home Lending
ANZ
01.2014 - 01.2015
Team Leader – ANZ Trustees & Private Bank
ANZ Trustees
01.2011 - 01.2014
Fulfilment Officer
ANZ
01.2009 - 01.2011
Merchant Disputes Analyst
ANZ India
01.2008 - 01.2009
Career Qualified in Banking - Baking and Finance
FINSIA
AFSL Tier 2 - Banking and Finance
Kaplan Australia
Diploma of Counselling - Mental Health Counseling (Youth)
Careers Australia
Certificate III - Business Administration
TAFE
Certificate of Introduction Learning - Lean Six Sigma
Bachelor of Arts -
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