ClientA current client for ICG has asked for assistance to proactively upgrade their compliance capabilities over the next few months.RoleScope of Review1.
Regulatory Framework AssessmentEvaluate 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 EvaluationReview 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 AssessmentIdentify 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 MechanismsExamine current company-wide monitoring practices for compliance adherence.Evaluate reporting channels for compliance incidents and breaches.5.
Stakeholder EngagementGather 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 departmentsKey DeliverablesExpected Outcomes1.
Gap IdentificationList of compliance gaps, including regulatory non-compliance, insufficient training, and ineffective monitoring mechanisms.2.
RecommendationsDevelop 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.DeliverablesA 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 workSkills and experience requiredPrincipal or partner level consultant at Big Four10+ years' experience in financial services complianceExpertise across secured and unsecured lending and cash based investment productsProfessional engagement with C-Suite executivesLogisticsStart date: Early February Duration: 3-4 WeeksLocation: The role is Sydney basedRate: The daily rate to the consultant will be AUD$1,850 per day reflecting the seniority requiredApplicationClose date: No later than Thursday 16th ****, 12-noon
#J-*****-Ljbffr

📌 Consultant Gig 993–Sydney–Banking And Investments Compliance
🏢 Australian Compliance Institute
📍 Sydney