Compliance Framework & Risk Management Framework

We assist with the design and implementation of an effective compliance and risk management framework which meets regulatory requirements and tailored to suit your organisation's risk appetite.  

We can help you with:

• Compliance and risk management framework - design effectiveness by reviewing your existing framework and identify areas of risk, improvement or weakness; design a new structure to suit your operations and risk appetite.

• Compliance advisory support - understanding regulatory requirements, obligations, guidelines, notices and expectations; implement appropriate practices, processes and controls to ensure compliance and management of risks when they arise.

• MIS reporting to board and senior management on the status of your framework including issue escalation and awareness.

• Employee compliance and risk awareness training.

• Compliance policies, procedures, work instructions, guidance and tools (checklists, registers, tracking logs).

• Standards or codes of conduct.

• Employee violation and disciplinary guidelines.

• Effective lines of communication.

• Compliance monitoring and testing program.

• Tracking corrective actions or incidents.

• Regulatory reporting obligations and processes, e.g. breach reporting, transaction reporting.