Compliance Risk Assessments & Reviews

We have the expertise to conduct an in-depth and targeted compliance risk assessments of your organisation's operations, practices and controls to determine the status of compliance with industry standards, internal policies and procedures, licensing conditions and regulatory requirements. 

Our assessment and due diligence review of your practices includes identifying any potential compliance risks, gaps and weaknesses. We can help you address high-risk areas, recommend improvements (e.g. designing a fit for purpose and right size control framework) and partner with you to implement solutions.

Below are examples of areas we can assess to determine if you are meeting your regulatory obligations and have the most effective and compliant processes in place:

• Regulatory obligations - effectiveness review of compliance controls, policies and systems

• Electronic trading and trading systems - compliance controls, change management and governance processes

• Governance framework and systems - stakeholder relations, management duties and responsibilities, committee structures, charters and terms of reference 

• Breach reporting systems - ASIC requirements 

• Transaction and data reporting systems

• Outsourcing and 3rd party -  compliance risks; develop outsourcing policies, procedures and controls to meet local regulatory requirements 

Please contact us to discuss your specific needs and we can help you design an assessment program to suit.