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BEc, Dip CM, FCSA, FCIS, CCP Fellow, GAICD
“Peter specialises in providing practical and business focused compliance, risk management and governance solutions. He acted as an Independent Compliance Expert assisting clients deal with regulator actions in financial services, trade practices and energy industries. Peter’s guiding principle is “helping businesses achieve their goals safely”.
Peter’s experience spans 27 years in management, consulting and regulator roles. Following a management career with a number of leading financial services companies including ANZ Funds Management, Prudential, Colonial and Zurich, he was the National Partner – Compliance at KPMG. Over recent years he has been an independent consultant. He has also been a Director for a number of public offer superannuation funds.
Having a deep knowledge of compliance, risk management and governance, he has also held senior positions in strategic planning, marketing and product development. That has given him the advantage of being able to understand the complexities of governance from a business perspective.
Peter’s engagements have included:
- reviewing risk and compliance frameworks for ADIs;
- reviewing and developing AFSL frameworks for stockbroking and financial planning, superannuation, life insurance, general insurance and funds management;
- conflicts of interest management reviews including related party transactions for REs;
- Independent Compliance Expert for ASIC and ACMA enforceable undertakings;
- compliance advisor to financial services and energy companies during regulatory investigations;
- assisting clients obtain AFSLs and APRA authorisations; and
- conducting independent AML/CTF compliance reviews.
Peter has been active in industry associations throughout his career. He served as a Director and President of Australasian Compliance Institute and currently lectures on its education programs. He has also had a long association with Chartered Secretaries Australia where he is currently a member of the Corporate & Legal Issues Committee, which has made numerous successful submissions to Government on a variety of matters.
Active in the Not For Profit sector, Peter is a member of the Juvenile Diabetics Research Foundation Finance Committee and of the ACI Not for Profit Working Group.
Peter is a regular presenter on compliance and risk management at industry seminars and professional association forums both in Australia and Asia and has contributed a number of articles to industry journals.
Facing the challenge“Today, risks don’t fit into easy categories or emerge from pre-determined place. They assault from all sides. It may surprise you to know that at least half of all corporate crises are caused by senior management action rather than external forces. I firmly believe that the most successful, least crisis-prone businesses will be those whose boards have shown firm resolve and taken decisive action. Effective, integrated strategies for dealing with tomorrow’s risks require a change in culture at board level now.”
(Lord Peter Levene, Chairman of insurance giant Lloyds speaking at the World Affairs Council).