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Independent assurance to strengthen governance, controls and regulatory compliance.
Organisations face increasing expectations from regulators, boards, investors and other stakeholders to demonstrate that their controls, compliance frameworks and business processes are operating effectively.
RSM's risk assurance specialists provide independent, objective assurance to help organisations understand whether key controls and processes are working as intended, identify gaps and respond to regulatory and stakeholder requirements. From regulatory compliance reviews and independent audits to controls assurance and specialist reviews, we provide practical insight that helps strengthen governance, manage risk and build confidence.
Regulatory and compliance assurance
In delivering probity auditor services, providing a clear interpretation of the application of relevant policies, procedures and the probity framework is critical to ensure they are consistent with government laws and legislation, guidelines and best practice principles.
Our approach is tailored to the regulatory requirements, risk profile and objectives of each engagement.
Organisations subject to an enforceable undertaking may be required to demonstrate that agreed compliance programs, controls and remediation activities have been implemented effectively.
RSM provides independent audit services to assess compliance with enforceable undertakings and provide objective reporting to organisations and regulators.
Australian organisations that are SEC registrants or subsidiaries of US-listed companies may be required to comply with Sarbanes-Oxley requirements.
RSM assists organisations with documenting, assessing and testing internal controls over financial reporting, including relevant technology processes.
Financial services organisations operate within a complex regulatory environment and need confidence that their governance, compliance and control frameworks remain effective.
RSM supports organisations across regulatory compliance, governance, internal controls and independent testing, including anti-money laundering and counter-terrorism financing requirements.
Licensors need confidence that royalties are being calculated and paid in accordance with contractual agreements.
RSM's royalty audit specialists review agreements, reporting and underlying records to identify potential underpayments, control weaknesses and instances of non-compliance.
Our Services
Why choose RSM for risk assurance?
RSM combines independent assurance expertise with practical experience across risk, governance, compliance and internal controls.
Our national probity practice is led by experienced professionals who have supported complex procurements, transactions and decision-making processes across Australia.
Our clients benefit from:
- experienced risk assurance and regulatory specialists
- practical, risk-based approaches tailored to each engagement
- experience working across complex and highly regulated environments
- independent and objective assessments
- national capability supported by RSM's global network
- access to broader expertise across internal audit,
- enterprise risk, cyber security, fraud and governance.
Frequently asked questions about risk assurance
Risk assurance is the independent assessment of an organisation's governance, risk management, controls or compliance processes. It helps determine whether those processes are appropriately designed and operating effectively.
Risk management focuses on identifying, assessing and managing risks across an organisation. Risk assurance provides independent confidence that the frameworks, processes and controls used to manage those risks are working effectively.
Internal audit generally provides an ongoing or risk-based program of assurance across an organisation's governance, risk management and internal controls. Risk assurance may also involve specific independent reviews required by regulators, contractual arrangements or particular compliance obligations.
Independent assurance may be required by a regulator, board, contract or other stakeholder. Organisations may also seek assurance voluntarily where a particular area presents significant regulatory, financial or reputational risk.
The scope will depend on the engagement but may include governance arrangements, policies and procedures, internal controls, compliance obligations, supporting evidence and whether controls are operating as intended.
Yes. Independent assurance can help organisations assess whether regulatory requirements have been appropriately addressed and whether related governance, policies and controls are operating effectively.
KEY CONTACTS
Need confidence in your controls, compliance or risk framework?
Speak with our risk assurance specialists
Whether you need independent assurance over a regulatory obligation, control framework or commercial arrangement, our specialists can help determine the right approach.
Tell us about your requirements and a member of our Risk Advisory team will be in touch.
Speak with our risk assurance specialists
Whether you need independent assurance over a regulatory obligation, control framework or commercial arrangement, our specialists can help determine the right approach.
Tell us about your requirements and a member of our Risk Advisory team will be in touch.
Why RSM?
Experienced, partner-led risk assurance specialists
Practical, risk-based assurance tailored to your organisation
Deep expertise across regulatory and compliance requirements
Independent and objective assessment of controls and processes
Practical recommendations that go beyond compliance
Access to broader RSM expertise across risk, governance, cyber and internal audit
Latest insights on risk, compliance and assurance
Explore practical insights from RSM's specialists on strengthening governance, responding to regulatory change and improving organisational controls.
