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You're making decisions in a nuanced business context. Your next move has consequences for your reputation. Let MinterEllison Consulting be your guide to decide, protect and evolve your risk, governance, remediation and compliance strategy and operations.

Risk and Regulatory

Understanding, controlling and remediating risk is key to boosting business resilience. Get this wrong, and your organisation’s reputation suffers. Get it right, and your organisation will adapt to constant change and harness new growth opportunities.

Together, we can build momentum to unlock new opportunities today and respond to the most significant issues of our time.

Galvanise your strategy: strengthen business risk frameworks, compliance, governance and more

To help you thrive during complex situations, we've brought together one market-leading team of risk and legal practitioners, with experience on the client-side, coupled with first-hand knowledge of how to stay on the right side of regulators.

How we can help you decide, protect and evolve

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  • Board governance advisory
  • Accountability reviews and diagnostics
  • Investigative and background due diligence (M&A, supplier, agents, etc.)
  • Risk maturity and risk culture assessments
  • Perform risk assessments of new business initiatives
  • Conduct root cause analyses to help you decide how best to manage an incident or respond to a crisis
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  • Compliance and regulatory audits (AML independent reviews, S.162 audits)
  • Independent reviews of risk, governance and compliance arrangements (including under CPS 220, CPS 231 and CPS 234)
  • Help navigate Regulatory enforcement actions such as enforceable undertakings and licence conditions (including actions taken by ASIC, APRA, ACMA, AUSTRAC and the OAIC)
  • Operational process reviews
  • Incident response and forensic investigation
  • Fraud risk and control assessments
  • Planning and execution of customer remediation programs
  • Design and implement enhancements to control environments to prevent the reoccurrence of issues and incidents
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  • AML/CTF uplift programs
  • Compliance policy and procedure drafting and assessment
  • Development and enhancement of enterprise risk and governance frameworks
  • Regulatory change implementation
  • Optimise risk and compliance arrangements to reduce the cost of compliance
  • Build risk processes and controls to support new business ventures
  • Risk and compliance transformations

Specialities


  • Governance
  • Remediation
  • Risk and compliance
  • System, data and analytics services
  • Financial crime, fraud and forensics services
Governance

Governance, culture and accountability

Ensuring governance, culture and accountability is core. Our team of risk and legal experts can deliver:

  • Governance, culture and accountability diagnostics
  • Board governance and reporting
  • Compliance reviews aligning regulatory obligations and expectations
  • Risk culture assessments
  • FAR program designs and conduct effectiveness reviews
  • Evaluation of risk in performance management and remuneration frameworks
  • Effectiveness review of 3 lines of defence

Remediation

Customer resolution and remediation

Achieve great outcomes for your customers and rebuild trust with the regulator. Our team of risk and legal experts can:

  • Design, implementation and review of customer remediation programs
  • Conduct independent assurance reviews of remediation programs
  • Conduct root cause analysis
  • Develop complaints strategy and frameworks
  • Develop your regulatory engagement strategy

Risk and compliance

Risk and regulatory compliance

Give confidence and certainty to your board by ensuring your frameworks are fit for purpose. Our team of risk and legal experts can:

  • Deliver strategic advice on risk and compliance matters
  • Design and implement risk compliance frameworks and compliance obligations registers
  • Augment your risk and compliance resources
  • Conduct maturity assessments
  • Perform independent assurance reviews of risk frameworks
  • Undertake regulatory investigations and inquiries
  • Manage regulatory change
  • Program manage Enforceable Undertakings

System, data and analytics services

  • Risk technology design and implementation
  • Remediation analytics and calculation checks
  • Assessing risk in trading portfolios and designing measures to better manage that risk

Financial crime, fraud and forensics services

  • Regulatory reviews e.g. AML/CTF programs and audits
  • Risk assessments including Money Laundering and Terrorist Financing (ML/TF, Enterprise-wide risk assessments)
  • Managed services/surge operations, whistleblower services, transaction monitoring alerts and unusual activity reports
  • Comprehensive AML/CTF uplift program design
  • Investigations and large scale regulatory response, including investigations into potential bribery and corruption

Lead contacts

Nicole Salimbeni

Partner, MinterEllison Consulting, Sydney

Peter Forwood

Partner, MinterEllison Consulting, Sydney

Malcolm Shackell

Partner, MinterEllison Consulting, Sydney

Edwina Star

Partner, MinterEllison Consulting, Sydney

Ashley Rockman

Partner, MinterEllison Consulting, Sydney

Mark Rigby

Partner, MinterEllison Consulting, Sydney

Garth Williams

Partner, MinterEllison Consulting, Sydney
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https://www.minterellison.com/consulting/risk-and-regulatory

Our thinking and experience

Our consulting services are provided by the partnerships known as MinterEllison Consulting (ABN 50 017 469 292) and MinterEllison Advisory (ABN 27 632 804 465) which operate through the company, MinterEllison Consulting Pty Limited (ABN 50 077 613 828), all of which are part of the MinterEllison Group. Our consulting services do not constitute legal services nor legal advice and are not provided by Australian legal practitioners acting in that capacity. The laws and regulations which govern the provision of legal services in the relevant jurisdiction do not apply to the provision of non-legal services.

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