Legislative Compliance

Strengthening compliance oversight, reducing regulatory risk and protecting reputation

What We Help You Achieve

We support Boards, executives, business owners and regulators to strengthen legislative compliance frameworks, improve compliance monitoring and reduce the risk of regulatory breaches, penalties and reputational damage.

Our reviews provide practical insight into how organisations identify, monitor and report on legislative obligations – helping establish clear accountability, stronger oversight and greater confidence in compliance practices.

The Challenge

Organisations operate in an increasingly complex regulatory environment, with expanding obligations across corporations law, privacy, workplace safety, taxation, consumer law, prudential standards, industry codes and government requirements..

Regulators are increasingly active and expectations of Directors, executives and regulators continue to rise. Without effective compliance frameworks, organisations can be exposed to:

regulatory breaches and penalties;
personal liability for Directors and officers;
reputational damage;
weak compliance monitoring;
incomplete legislative obligations registers; and
poor visibility over emerging or changing obligations.

For regulators, effective compliance assurance is equally important to confirm regulated entities are meeting their obligations and to strengthen confidence in regulatory frameworks.

What we do

We support organisations and regulators through:

Legislative Compliance Framework HealthChecks
Legislative obligations register reviews
Compliance monitoring and reporting assessments
Regulatory breach reporting framework reviews
Policy and procedure compliance reviews
High-risk obligation assurance reviews
Compliance self-assessment and certification frameworks
Board and executive compliance reporting reviews
Strategic regulatory and compliance framework advice
Regulated entity compliance audits

Our Risk Management Solutions

Enterprise Risk Governance Frameworks

We design fit-for-purpose enterprise risk management frameworks tailored to your organization’s size and complexity. 

Our comprehensive frameworks cover:

Governance & Oversight: Policies, procedures, Three Lines models, and Board committee structures.
Strategy & Operations: Risk assessment methodologies, reporting protocols, and culture programs.
Future Readiness: Emerging risk scanning and attestation processes.

Our Key Differentiator: We embed controls effectiveness directly into the risk process. This moves you beyond theoretical discussions to give you practical, real-time insight into whether your controls are actually working.

Risk Appetite Statement

We facilitate the development of Board-level Risk Appetite Statements that clearly define acceptable risk, governance expectations, tolerances, and escalation requirements.

Our collaborative methodology includes:

Alignment & Calibration: Director surveys, facilitated workshops, and risk domain development.
Practical Tools: KRI development, appetite summaries, and governance escalation frameworks.

The Outcome: We ensure your risk appetite becomes a practical decision-making tool, rather than just a compliance document.

Strategic and Operational Risk Assessment

We facilitate strategic and operational risk identification workshops to identify those events that could impact the achievement of organisational objectives. 
Our assessments include:

strategic risk identification;
operational and business unit risk assessments;
emerging risk identification;
controls evaluation;
residual risk assessment;
consequence and
likelihood analysis;
treatment plan development; and
operational and strategic risk register design.

Our workshops are engaging and education-focused – helping organisations strengthen internal risk capability and risk culture.

Risk Reporting & Governance Oversight

We develop tailored reporting and governance frameworks that focus on material risks, emerging threats, and trend analysis to improve visibility, accountability, and oversight.

Our frameworks deliver:

Reporting & Governance: Board and Committee packs, risk dashboards, KRI reporting, and escalation protocols.
Enhanced Visibility: Real-time insights into control effectiveness, operational resilience, and movement against risk appetite.

The Outcome: We move your reporting beyond compliance to provide actionable data for stronger governance decision-making.

Emerging Risk and Horizon Scanning

We help organisations strengthen forward-looking risk capability by identifying emerging threats, trends and external disruptions that may impact strategic objectives.

This includes:

horizon scanning;
emerging risk workshops;
geopolitical disruption analysis;
technology, cyber and AI disruption assessments;
cyber and operational resilience reviews;
scenario planning; and
preparedness and response assessments.

Our focus is helping organisations anticipate disruption before risks materialise.

Risk Governance Health Checks

We assess the maturity and effectiveness of existing risk management frameworks and governance arrangements.

Reviews may consider:

Board and Committee oversight;
risk governance structures;
policy and framework maturity;
alignment to ISO 31000 and better practice;
risk reporting effectiveness;
controls effectiveness;
risk culture maturity;
operational embedding; and
integration with strategic planning and decision-making.

We then develop practical improvement roadmaps to strengthen capability over time.

How We Deliver:

Our reviews and advisory are personally delivered by experienced senior practitioners with deep experience across governance, risk, assurance and regulatory compliance.

We combine:

governance and compliance expertise;
regulatory assurance experience;
practical controls insight;
commercial judgement; and
clear and practical reporting

to assess whether compliance frameworks are complete, practical, efficient and operating effectively.

Our approach is risk-based and improvement focused – helping organisations strengthen compliance capability and helping regulators obtain practical compliance insight.

Outcome:

Clients benefit from:

stronger legislative compliance frameworks;
improved visibility of legal and regulatory obligations;
clearer accountability for compliance ownership;
stronger compliance monitoring and reporting;
reduced exposure to breaches, penalties and reputational damage;
improved Board and executive confidence;
greater assurance over high-risk obligations; and
practical recommendations to improve compliance efficiency.

Our Risk Solutions are strategy focused and designed to:

Specific Risk services include:

Risk Management Framework HealthChecks/Maturity Benchmarking - A benchmarking against better practice, peers and regulatory standards
Board Risk Appetite Statement Development - Simple, proven process for Boards to determine their risk tolerances across the key areas of their business
Risk Assessment Workshop Facilitation - Formal workshop facilitation – risk identification, controls effectiveness assessment, risk rating (Likelihood & Consequence) and risk mitigation strategies
Risk Management Framework Policy and Procedures - Development of risk policy/procedures, risk systems and risk reporting

Selected Experience

We have supported ASX-listed entities, government, financial services, sporting organisations and not-for-profit organisations to strengthen governance, operationalise risk management and improve preparedness, oversight and decision-making. Engagements have included:

Essential Services Commission

Provided advice on local government regulatory principles and the governance controls required to support the VDO pricing model
Provided technical advice on Water’s Regulatory Accounting Code, National Performance Framework and Water Performance Indicator Definitions
For the past seven years, conducted Regulatory Accounting Statements Code compliance audits across 19 water businesses, attesting reported numbers against audited financial statements
Supported the ESC’s Fair Go Rates System obligations by conducting high-level assessments of Local Council compliance with the rate cap and developing a Better Practice Property & Rates Database Controls Framework

Ridley Corporation Ltd (ASX Listed agricultural company)

Developed an online six-monthly Statutory Controls & Risk Self-Assessment survey to support compliance assurance and certification sign-off across the business
Supported CEO and CFO assurance processes linked to Corporations Act s295A and ASX Principle 7 obligations
Undertook EPA and Chain of Responsibility compliance reviews to evaluate controls supporting regulatory compliance obligations

Nexus Mutual (Exxon Mobil’s staff bank)

Conducted a Management Self-Assessment HealthCheck against APRA’s Prudential Inquiry into CBA
Assessed governance, culture, accountability and compliance practices against APRA’s 35 recommendations

City of Melbourne

Reviewed the regulatory and accreditation framework for the Community Development department
Evaluated policies, procedures, legislative identification processes, compliance monitoring, changed legislation controls and compliance reporting

Melton City Council

Assessed compliance for a major sponsored event against section 193 Entrepreneurial Powers of the Local Government Act and relevant Ministerial Guidelines
Identified potential compliance exposures and governance improvement opportunities

Are you confident your organisation is effectively identifying, managing and reporting its legislative compliance obligations? Speak to us about how we can help strengthen your compliance framework, reduce regulatory risk and improve confidence in legislative compliance.