Compliance Australia offers a variety of products and services relating to corporate governance, regulatory compliance, business ethics and risk management. We support most sectors of the finance industry, including banking, investment banking, funds management, insurance, superannuation, financial planning and stockbroking.

Over time we have expanded the range of our services and now offer a broad suite of interrelated consulting services that collectively contribute to good governance within the finance sector.

Our services are split into four main categories of governance framework, compliance, risk management and business ethics, with each category closely aligned and consistent with the others. The combination provides directors, senior management and senior compliance and risk managers with all of the support they need to meet the expectations of stakeholders.

Ideally we prefer to take a top down approach and work with the board and senior management by benchmarking the existing governance framework against best practice. Corporate Governance is a wide topic and we do not profess to have all of the answers to the myriad of issues that confront directors. Instead we focus on corporate culture and business ethics, risk management and regulatory compliance. We are able to assist on other governance issues such as director and executive selection, rotation and compensation by referral to one of our associates who specialise in these issues.

Once we have identified the existing governance framework we then work closely with senior management and other internal stakeholders to assess the corporate culture and the effectiveness of the existing risk management and compliance programs, using the Australian Standards as reference points. Ultimately our goal is to ensure that we leave our clients with a corporate governance program comprising a robust corporate culture, a risk management program that is conducive to informed risk taking and a compliance program that satisfies all key regulatory obligations. Alternatively we are able to respond to specific issues confronting our clients such as addressing new legislation, regulatory inquiries, independent assessments, licence applications, monitoring and reporting and ongoing support services.