D-Risk Pty Ltd (D-Risk) specialises in creative and effective solutions to business regulatory, risk and compliance challenges for both the public and private sector by offering ‘one-stop’ access to a wide range of financial services expertise. Through a combination of personally tailored solutions, as well as providing easy access to the other supplier networks and support where necessary, D-Risk can help your business fulfil its objectives and responsibilities. Having been consulting within the financial services industry for more than 20 years, we understand what it takes to deliver successful financial services projects, licencing, products, risk and compliance frameworks, compliance programs and overall business positive outcomes, dealing with regulatory issues and negotiating with the regulator(s) on your behalf. D-Risk has consulted to both private and public sectors as well as developing and implementing frameworks to companies such as Ellerston Capital (CPH), Challenger Group, UBS Wealth Management / Crestone, PM CAPITAL Limited, CBA, and clients of Minter Ellison as well as others for many years. D-Risk has also managed large projects for the Council of Financial Regulators and APRA individually.
We analyse and gain understanding of your strategic and operational processes and the inherent risks to your organisation and then work with you to understand what these risks mean to your business.
D-Risk people have a strong track record of working with both private and public sector to:
- Facilitate the introduction and amendment of legislation within organisation and includes the development of operationally based policy;
- Management of specialist and complex projects;
- Assist in the development of implementation control solutions including technology based process;
- Manage regulator requirements and liaison.
Risk And Compliance
Establish and deliver operational risk and compliance frameworks across your organisation, no matter if you’re a small two-man operation, a small Responsible Entity (RE), a medium to large life company, a global conglomerate or a dealer group, we can work with you to ensure your firm is run on sound structures.
We’ve installed bespoke applications in some of the top 100 companies in Australia. Developed ‘in-house’ to fill gaps where a platform solution did not exist, or where an ‘off the shelf’ application was too expensive and complex for the environment the business was working in, we can design and deploy technology solutions for your business as required.
Contact Us For A Free Consultation
ABN 34 059 012 541
Level 1, Suite F 110, George Street
PARRAMATTA, NSW, 2150 AUSTRALIA
Phone: +61 (0)407 401 136
Australian Prudential Regulation Authority (APRA)
After managing the Crisis Simulation Exercise for the Council of Financial Regulators – D-Risk developed and wrote the elements for the Crisis Simulation Exercise – Guidance Manual for APRA which was delivered to the Council of Financial Regulators. Developed and wrote elements for the Financial Services Claim Scheme and its implementation program. Developed and wrote the 2011 Sovereign Risk Review for APRA.
AFSL implementation including application of AFSLs, design, development and rollout of compliance framework across nine AFSLs for the Challenger Group including regulator liaison. Design, development and implementation and rollout of document management platform throughout Challenger.
UBS / Crestone
Develop AML/CTF Program and implement including oversight of all policy documents and data capture. Project manage all client data onboarding of 20,000 commercial clients. Manage data mapping program from UBS systems to new French platform. Manage technical aspects of AML legal framework and its underlying contracts.