BAF® Request: SYDNEY-601-FS-Risk and Compliance Principal or Partner



A long standing ICG client is seeking to conduct a diagnostic of their Risk and Compliance function(s). This diagnostic is expected to inform the future structure of these functions within the organization and will help to shape the structure of the functions, their organizational interfaces and resourcing.

The Role

The successful professional will be accountable for:


  • Interviewing senior stakeholders, including the Chief Legal and Risk officers, the CEO and key team members. Other stakeholders such as the head of the Board Risk and Compliance Committee may also be involved.
  • Developing an issue tree to depict opportunities for improvement given the current approach and structure
  • Identifying hypothesis for improvement from the interviews and their own observations
  • Developing a comprehensive set of feasible alternatives that attend to identified issues
  • Developing a smaller sub set of recommended alternatives for discussion with management
  • Refinement of options and a recommendation for the path forward

Ideally the professional will have:


  • Significant experience 10 or so years in a senior risk and compliance role
  • Experience working as a partner or director in a big four accounting/consulting firm or as a principal or above in a specialist top tier firm such as Promontory or Oliver Wyman
  • Familiarity with current related Financial Services Regulation
  • Ability to discuss complex issues real time with a very senior audience

Logistics, Location & Rate

Logistics: Starting immediately – the project needs to be completed by the 9th of November and is expected to take around 12-15 days of actual work time which can be completed full time or part time depending on the preferred candidate’s preference.

Location: Sydney

There is no expectation that expenses will be required and travel and accommodation will need to be funded by exceptional interstate and global candidates.

Rate: The daily rate is commensurate with the expected seniority and is $3,500 gross per day plus GST.

Following the review there is also the potential for the client to hire the candidate as an interim senior manager to temporarily manage the risk and compliance functions. Candidates who have an interest in a longer term role at a daily rate consistent with an interim role should also indicate their willingness to consider this in their application.

Close Date and time specified below
 Auckland 7:00pm Monday 8th October 2018  
Sydney/Melbourne/Brisbane  5:00pm Monday 8th October 2018     
 Singapore 2:00pm Monday 8th October 2018  
Paris/Brussels/Stockholm  08:00am Monday 8th October 2018    
 London 07:00am Monday 8th October 2018  
 Toronto/New York 02:00am Monday 8th October 2018   

We will review all APT’s and select the best 3. The client will then conduct interviews.

To apply for this BAF® you should submit your ICG Accredited Professional Transcript (APT’s) in the required format (in ICG GDrive here – Accredited Professionals only) to [email protected] and confirm that you are available (or will make yourself available) for interviews at the client’s discretion.

If you are aware of suitable candidates for the role that might not already be ICG Accredited Professionals, please forward this email to them and ask them to review our website.