Specialist Controls & Assurance

Services

Governance, Regulation and Conduct Advisory

Deloitte has extensive experience in delivering high quality regulatory advice to our financial services clients.

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Deloitte has extensive experience in delivering high quality regulatory advice to our financial services clients.Our services cover the following areas:

1. Regulatory transformation and productivity

  • Redesigning operating models to improve the effectiveness of governance, risk and compliance practices
  • Implementing robust governance, risk and compliance processes.
  • Designing and building risk frameworks
  • Design and implementation support
  • Post implementation assessments.

2. Regulatory readiness (new and upcoming regulation)

  • Impact assessment and gap analysis
  • Design and implementation support
  • Post implementation assessments
  • Awareness and technical training.

3. Proactive independent regulatory support for:

  • All queries and notices
  • ASIC and APRA enforceable undertakings
  • Remediation management and advice.

4. Ongoing regulatory and compliance advisory

  • Secondments of specialist resources
  • Diagnostics of business practices to meet current and future requirements
  • Industry benchmarking and compliance assessments
  • Internal audit and due diligence support ( regulatory subject matter expertise)
  • Licensing applications
  • Three lines of Defence advice.

5. Financial planning consulting

  • Operating model diagnostics
  • Enhancing monitoring and supervision frameworks
  • Governance and culture assessments and enhancements
  • File reviews
  • Remediation support.

We work seamlessly with our risk, human capital and analytics teams to offer industry-leading change management services and analytic insights.

 

 

Contact us

Sarah Woodhouse

Sarah Woodhouse

Partner, Audit & Assurance

Sarah is a Senior Partner in Deloitte's Sydney office, with extensive experience in Governance, Regulation and Conduct advisory services. She has significant experience in leading large scale programs... More

Vivienne Tang

Vivienne Tang

Partner, Audit & Assurance

Vivienne specialises in the banking and wealth management industry with a passion in regulatory advisory. She is the Melbourne leader of our Governance, Regulation and Conduct Advisory practice and in... More