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 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
Skilled engagement with C-Suite executives
Logistics
Start date: Early February Duration: 3-4 Weeks
Location: The role is Sydney based
Rate: The daily rate to the consultant will be AUD$1,850 per day reflecting the seniority required
Application
Close date: No later than Thursday 16th ****, 12-noon
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📌 Consultant Gig 993–Sydney–Banking And Investments Compliance
🏢 Australian Compliance Institute
📍 Sydney