Governance, Risk Management and Compliance: Randal has been intimately involved in the design, implementation and evaluation of GRC systems for public and private organisations in numerous industries. These include undertaking remediation projects as a result of compliance failures, problem solving, regulatory liaison, assessment of effectiveness and reviews of compliance systems in enforcement and due diligence contexts.
Examples of relevant recent matters include:
AGL Energy, Airservices Australia, AMP, Brisbane Airport Corporation, Cement Australia, CS Energy, Ecofund, Enertrade, Golden Casket, ING, QIC, QR, QSuper, RACQ, RACQ Insurance, RBS Morgans, RTA, SEQ Water, Stanwell, Stockland, Suncorp, Tarong, Toyota Finance Services, Translink, UBS Global Asset Management (Australia), University of Southern Queensland, Woolworths, Zurich: Advising on compliance and legal risk issues including focusing on onsite reviews of major pieces of infrastructure and assets, advising on the integration of the organisation's governance, risk management and compliance systems and conducting practical in-house legal, risk and compliance training.
Various GOCs: Acting for a range of GOCs and SOCs in their ongoing Anti-Money Laundering (AML) Financial Services Reform (FSR), governance risk and compliance projects. This included dealing with breach issues, conducting due diligence, legal risk, compliance reviews and system upgrades to meet regulatory and organisational requirements (including BCP and due diligence systems), preparation of comprehensive legal risks matrices, advising and facilitating on integration of risk and compliance systems.
Regulatory liaison - various (names withheld): Liaison with various regulators (for example ASIC, APRA, ACCC, UCCCMC and Offices of Fair Trading) and dealing with regulator action or concerns over organisations' failure to comply with legal and regulatory requirements, representing various organisations in prosecutions or investigations commenced by regulators, assisting clients with due diligence governance, compliance and legal risk remediation, advising clients on responses to regulator concerns, and representing clients in the lodgement of complaints or statements of concern over industry practices.
Benchmarking and Assessment: Randal regularly consults with compliance and legal risk management and GRC clients to assist with the benchmarking of their legal risk and compliance systems.
He is at the forefront of the development of numerical assessment of compliance systems and benchmarking and is a co-developer of Complir8©, the Clayton Utz compliance measurement tool.
Compliance training: Randal regularly facilitates and presents seminars and workshops (including regular in-house briefings and Board / Senior Executive workshops). For example, he regularly conducts briefings with clients in-house in conjunction with the clients legal risk, governance and/or compliance units on recent developments.
Thought leadership: Randal is the co-author of the Standards Australia official guide on AS3806 (the Australian Standard on Compliance Programs), the consulting editor of the looseleaf services "Australian Legal Compliance" and "The Consumer Credit Law Reporter" (both CCH). He is also the co-author of the leading CCH texts "The Essential Guide to Financial Services Reform" and "The Essential Guide to Australian Anti-Money Laundering Reforms". Randal also assisted in the drafting of the Reference Checking in the Financial Services Industry Handbook (HB322-2007) for ASIC and various financial services industry groups.
Randal also lectures widely at University of New South Wales, University of Queensland, Queensland University of Technology and Griffith University and for most professional conference organisers with signature events in Randal's area of expertise (for example, Lexis Nexis Consumer Credit Law, financial services and compliance conferences and IIR and Tonkin Corporation Law and finance conferences).
