Compliance & Conduct Advisory

Compliance & Conduct Risk

Build strong compliance arrangements, manage regulator interactions and protect customers, employees and stakeholders with conduct risk management.

KPMG helps clients with a wide variety of regulatory, compliance and conduct challenges.

Compliance at the core

Clients face an increasingly complex and changing regulatory environment with the costs and consequences of non-compliance greater than ever. Effective compliance results in better outcomes for our clients, their customers and shareholders.

With broad industry knowledge our compliance and risk professionals help our clients maintain a compliant and sustainable business that protects the interests of their customers, staff, directors and other stakeholders.


The impact of conduct risk management

Effective conduct risk management should drive organisations from a profit driven business to one that places customer centricity at its heart to improve trust in the industry, customer outcomes and market growth. Regulators have been clear that conduct is at the heart of global regulatory strategy.

KPMG’s Conduct Risk team supports our clients to define, identify and help mitigate conduct risks in their business and embed conduct risk management into daily operations and existing risk management frameworks. With our support, our clients can harness the myriad drivers for change and turn risk into opportunity.


How we can help

We work with our clients on a wide variety of regulatory and compliance challenges, including but not limited to the following areas.

  • compliance arrangements reviews
  • advisory services to financial advice licensees
  • privacy services
  • licensing assistance (AFSL, ACL, ADI licensing)
  • dealing with regulatory change
  • assisting with the performance of your supervision and monitoring processes
  • obligations identification and management
  • regulator engagement and reporting
  • navigating Enforceable Undertakings and similar matters, including acting as Independent Expert
  • designing, managing and/or reviewing compensation programs
  • breach and incident management and reporting
  • secondments of our leading compliance and risk professionals.

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