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Internal Consulting Group
Client A new client for ICG has asked for assistance to proactively upgrade their compliance capabilities over the next few months. Role Scope of Review 1. Regulatory Framework Assessment • Evaluate current external A…
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About the role
Client
A new client for ICG has asked for assistance to proactively upgrade their compliance capabilities over the next few months.
Scope of Review
1. Regulatory Framework Assessment
• Evaluate current external Acts, Regulations and other compliance obligations applicable as a listed lender and a registered managed investment provider. Highlight any missing areas and areas for improvement.
• Review our internal compliance policies and identify any missing policy areas and areas for improvement.
2. Compliance Program Evaluation
• Review and evaluate the current compliance program and operations (including the structure and resources of the compliance team).
• Identify any missing or risk areas, and/or areas for improvement.
3. Risk Assessment
• Identify and evaluate potential compliance risks and gaps across business operations.
• Identify regulations with the most material financial or reputational penalty for non-compliance or breach for prioritisation.
4. Monitoring and Reporting Mechanisms
• Examine current company-wide monitoring practices for compliance adherence.
• Evaluate reporting channels for compliance incidents and breaches.
5. Stakeholder Engagement
• Gather feedback from stakeholders, including employees, management, and external partners, on the effectiveness of the compliance function.
• Assess the relationships and communication between the compliance function and other departments
Key Deliverables
Expected Outcomes
1. Gap Identification
• List of compliance gaps, including regulatory non-compliance, insufficient training, and ineffective monitoring mechanisms.
2. Recommendations
• Develop actionable recommendations to address identified gaps and improvements.
• Provide recommendation(s) on what a company-wide compliance function could look like including structure, roles and operation.
Deliverables
• A detailed report summarizing findings from the review.
• An ongoing compliance improvement action plan.
• An optional extra to create and run a “diagnostic compliance survey” as part of this work
Skills and experience required
● Principal or partner level consultant at Big Four
● 10+ years’ experience in financial services compliance
● Expertise across secured and unsecured lending and cash based investment products
● Professional engagement with C-Suite executives
Start date: Early February Duration: 3-4 Weeks
Rate: The daily rate to the consultant will be AUD$1,850 per day reflecting the seniority required
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