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March 2, 2022

Season of Virtual Financial Services Compliance Forums

Ongoing support for financial services compliance and risk staff navigating the current regulatory environment in Australia.

The 2021 tsunami of regulatory changes has receded. In the aftermath, compliance and risk staff are faced with huge tasks in bedding down, maintaining and evaluating systems, promoting ownership, upskilling, and communicating what lies ahead.

GRC Solutions are offering support in the form of a season of virtual Compliance Forums covering multiple aspects of the Compliance function.

We start off with

Session One: Regulatory Update

Patrick Dwyer, Legal Director at Dwyer Harris, presents insights, key targets, and suggestions relevant to current regulatory developments of relevant to mutual ADIs and similar financial services businesses.

Session Two: Breach Reporting

Patrick Dwyer, Legal Director at Dwyer Harris, presents insights, strategies, and suggestions around complying with the current breach reporting regime. The content is relevant to mutual ADIs and other financial businesses operating in Australia.

Session Three: AML and Cybercrime

Mark Wilson, Director at 20-20 Risk, talks about current and emerging modalities of cybercrime and financial services fraud; Liam O'Brien, GRC Solutions' Senior Consultant, will talk about AML/CTF and AUSTRAC's current priorities. Both Mark and Liam will address cybercrime and AML issues arising out of the Russian invasion of Ukraine.

Price: $80 per session

Session Four: ASIC Renews its Focus on Whistleblowing.  Are You Ready?

Kirsty Harvison, Senior Consultant & General Counsel at Your Call Whistleblowing Solutions will provide an overview of the current whistleblower protection provisions in the Corporations Act, key matters that should be included in your whistleblower policy, and provide practical tips that you can implement to ensure compliance with the law.

Price: $80 per session

Questions in advance

There will be time for questions during the webinars, but we invite questions in advance to bill.tarrant@GRCSolutions.com.au


Our Presenters

Patrick Dwyer is a Director at Dwyer Harris, a law firm that specialises in legal services for financial institutions.

Patrick has extensive experience in the mutuals sector and has worked with credit unions, building societies and mutual banks for over 30 years.

He advises clients on the many regulations that apply to the financial services sector, and also assists clients with corporate matters such as mergers, constitution amendments and commercial agreements.

Patrick is a former General Counsel at GE and was a corporate lawyer in New York at an international law firm. He is a member of the Financial Services Committee of the Law Council of Australia.

Kirsty Harvison LLB (Hons), FGIA is Senior Consultant & General Counsel at Your Call Whistleblowing Solutions, has practised as a commercial lawyer for almost 20 years. She spent the last decade in executive leadership and as General Counsel for businesses in the property, aviation, government, industrial, franchising and hospitality sectors.

She is an expert in organisational culture and regularly advises businesses on compliance with Corporations Act requirements.

Mark Wilson, Director at 20-20 Risk, is an accomplished Chief Risk Officer, Chief Audit Executive, commentator, speaker and consultant with more than 20 years’ risk management experience.

Mark is Director and Principal Consultant at specialist risk management advisory, 20-20 Risk. Prior to this, he worked as: Chief Risk Officer and Chief Audit Executive at Seven West Media; AUSPAC Chief Risk Officer for Huawei Technologies; and various other risk management roles at KPMG; the Australian Broadcasting Corporation; and Macquarie Bank.

Geeta Castle, Regulatory Compliance Advisor, is managing director and compliance advisor at TealBlu, a boutique regulatory compliance consultancy based in Sydney providing expertise and tailored services to organisations doing business in Australia, Singapore and the Asia Pacific region.

Geeta has over 20 years of regulatory compliance, risk management and governance experience working with top tier Asia Pacific, US and European based organisations, holding senior positions such as Chief Compliance Officer and Compliance Director. She has hands-on experience advising and supporting banks, financial services, securities/cryptocurrency/digital asset exchanges, brokers, payment service providers and other market participants to meet their regulatory obligations and maintain market integrity.

Liam O’Brien, Senior Consultant with GRC Solutions, is a highly experienced risk and compliance expert, a company director, and problem solver.

He brings a practical approach to client matters formed from years of experience both in house and in an advisory capacity. His pragmatic view is formed around a principle that regulatory activities should be designed to enhance the chance of realising commercial aspirations. His measure of success for risk and compliance programs is the way they influence how people within organisations go about their work. Liam is a professional trainer and often speaks at conferences and networking events for industry associations such as RMIA, GRC Institute, Governance Institute, Institute of Internal Auditors and the IAPP.

GRC Solutions Resources

Financial Services Manuals and Guides

A suite of regularly-updated resources targeted at Mutual ADIs and similar financial services businesses, drafted by experts with extensive experience in the sector Details here

Financial services training resources

An extensive suite of training resources relevant to financial services businesses in Australia, New Zealand, the APAC, and the US Details here

Facilitated Learning for directors and officers, including AFSL and ACL Responsible Managers Workshops Contact us to enquire

Consulting on your compliance systems Details here

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