Malcolm Saunders Email & Phone Number

Melbourne, Australia

I consult in the financial services sector predominantly to insurance broking and financial adviser businesses.The nature of my work entails:1. Applying for Australian Financial Services licences as well as Australian Credit licences for clients and any relevant variations to the licences, including changes to responsible managers and additional business activities for companies.2. Compliance reviews to assist Australian Financial Services' companies protect and maintain their licences.3. Implementing compliance frameworks in accordance with the requirements of AFS licences.4. Reviewing broking and compliance systems and analysing the relevant reports to ensure processes, controls and procedures are being maintained and monitored to protect the businesses and their licences.5. Setting up audit frameworks and programs to audit companies in accordance with ASIC's annual requirements for Australian Financial Services Licencees.6. Preparation of audit and compliance reports, from highly-automated systems, for clients, including corrective action planners and satisfactory assessment certificates.7. Arranging review / audit visits with business owners and meetings with senior management and staff on results from the compliance and audit activities.8. Servicing current clients, embracing business development opportunities and undertaking client retention situations.

Dandenong, Victoria

Responsibilities included:- the implementation of the compliance, risk management and internal audit frameworks- enhancing the focus of the quality internal audits and their reporting to Executive- preparation of themed and significant risk reporting- introduction of compliance monitoring application, content and procedures- implementation of risk, audit and compliance user reporting frameworks, processes and communication strategies and- the preparation of Risk Management Committee Agendas, submissions and minutes of the meetings.

Responsible for the enterprise risk and compliance framework of the business, the awareness and communication strategies involving the business units and regional offices, coordinating the internal audit plan and assignments throughout the business and the conduct and reporting of internal peer reviews of procedures and processes throughout the company. The preparation of Audit and Risk Management Committee meeting agendas, submissions and minutes were also completed by me.

Responsible for the enterprise risk and compliance frameworks of the business and the relevant communications of significant issues to the superannuation funds in the form of quarterly information packs. I was also responsible for assisting with the annual internal audit plan, its completion and the reporting of issues arising from the reviews of the funds' administration processes and supervision / maintenance of the business continuity plan along with the annual desk-top disaster scenario testing.

Responsible for the enterprise risk framework, implementation of business unit risk profiles throughout the Fund, completion of the self assessment compliance programme with the reporting of results to Committees and the co-ordination of the internal audit process, planning, completion and reporting, to the business. Assistance with the preparation of the Agenda, submissions and minutes for the quarterly Audit and Risk Committee meetings.

Mlebourne

Responsible for supervision of the operations of profit enhancement services and the reporting of results on the comparison of accounts payable processes and controls involving clients such as Coles, Myer, Kmart, Target, Visy Industries, Southcorp Wines and the Pacific Dunlop group and their suppliers. Servicing the clients through reports on activities, meetings, discussions, liaison and presentations to various relevant Executives..

Melbourne, Australia

Responsible for the group internal audit function, the planning, completion and reporting through executive summaries and reports to regional Management of Sedgwick companies throughout the Asia Pacific region. I compiled and presented internal audit outcomes and results to the Audit Committee on a quarterly basis, as well as liaised with the overseas UK parent on significant issues arising from the audits and / or the planning and to ensure consistency / standardisation with the audit approach.