Services we offer at Complex Risk Solutions

In this modern-day risk environment, we understand the pressures licensees face—from regulatory scrutiny to operational complexity—and I've built and led frameworks that meet the expectations of boards, auditors, and regulators. 

Our approach ensures you receive tailored, high-integrity support that aligns with your strategic priorities—without the constraints often found in larger, high-cost, resource-constrained, and less agile firms

Whether you're refining governance, strengthening controls, or preparing for change, I'll work with you to strengthen Risk and Compliance within your organisation. I don't believe in one-size-fits-all. With the aid of the GR+C model, I can partner with you to understand your business, your people, and your goals—then build risk solutions that fit. Let's make risk a strategic advantage, not a burden.

With a wealth of experience, some of the core functions we can support your firm include: 

• Non-executive director opportunities.
• Responsible Entity Compliance Committee membership.
• Decision-making protocols. 

   Help interpret and apply Australia’s complex regulatory landscape, including:

• Align the Compliance framework to the business strategy.
• Mapping and recording  obligations under regulatory obligations.
• Advising on implications of the Corporations Act, such as Design and Distribution Obligations, Complaints and breach reporting.
• Proactive guidance on regulatory interpretation and business initiatives.
• Keeping you ahead of upcoming changes (e.g., climate disclosures, AI governance).
• Board and Compliance Committee reporting.

  Support building an end-to-end compliance program that fits your fund’s size and strategy:

• Designing written compliance plans and policies, including regular review.
• Conducts periodic reviews of business activities to assess adherence.
• Establishing roles, responsibilities and governance structures.
• Protocols for identifying, escalating, and remediating compliance breaches.
• Regulatory change monitoring.

  Developing holistic risk frameworks aligned to local and global industry best practices:

• • Conducting risk identification workshops and heat-map analyses.
• • Defining risk appetite, tolerance and key risk indicators (KRI and KPIs).
• • Building dynamic risk registers and scenario-based stress tests.
• • Aligning risk management with investment strategy and business objectives.

  Building compliance and risk awareness across your organisation:

• Designing tailored workshops and e-learning modules for all staff levels.
• Embedding “risk champions” and strengthening ethical decision-making.
• Developing internal communication plans for policy updates and lessons learned.
• Running tabletop exercises for crisis scenarios.

  Ensuring the ongoing effectiveness of controls and timely remediation:

• Conducting independent compliance reviews and internal audits.
• Performing deep-dive thematic reviews (e.g., fees disclosure, conflicts of interest).
• Independent testing controls through sampling, walk-throughs and mock ASIC reviews.
• Benchmarking your practices against peers and industry standards.

Rapid, structured support when issues arise:

• Facilitating root-cause investigations and regulatory notifications.
• Drafting remediation roadmaps with clear milestones and accountability.
• Liaising with ASIC, AUSTRAC or other regulators.
• Reporting breaches to ASIC.
• Managing PR and stakeholder communications to safeguard reputation.

 Guidance through complex approval processes:

• Preparing and lodging ASIC or applications and renewal submissions.
• Drafting Target Market Determinations and product disclosure statements under DDO.
• Advising on changes in product design, distribution channels and marketing materials.
• Ensuring ongoing compliance with product governance and design obligations.

  Supporting the integration of environmental, social and governance risks:

• Designing ESG risk-assessment frameworks and due-diligence checklists.
• Reviewing sustainability-related disclosures and marketing claims to avoid greenwashing.
• Advising on climate-related non-financial risks, global standards.
• Embedding ESG into investment mandates, policies and reporting.

 We specialise in GRC+C, please do not hesitate to contact CRS for further services available.

"Where Risk Meets Intelligence"