Before founding Broadleaf, Dr Dale Cooper worked with Spicer & Oppenheim Consultants in the City of London, working with finance sector clients in the UK, the USA, Hong Kong and Australia. He returned to Australia as Joint Managing Director of the stockbroker Pring Dean McNall, and he was later National Manager International Services with Standard Chartered Bank Australia. At Standard Chartered he was responsible for trade finance and priority banking and a member of the Bank’s Executive Committee, the Asset and Liability Committee and the Marketing Committee.
Dale Cooper has represented the Financial Services Institute of Australasia (FINSIA) on the Standards Australia and Standards New Zealand Joint Technical Committee OB-007 Risk Management since the committee's inception in August 1993. He is a Fellow of FINSIA.
Building on this experience, our expertise in risk management and our understanding of the international standard ISO 31000 and the more specific requirements of financial regulators, we have provided a range of services to the sector. Some specific assignments are noted below.
Abu Dhabi Retirement Pensions and Benefits Fund
We provided enterprise risk management (ERM) training for the Chief Executive and his senior management team
We developed and implemented an ERM framework, standards and guidelines for the Fund
We conducted strategic risk assessments and risk treatment workshops for inclusion in the Fund’s Strategic Plan
Ashurst (formerly Blake Dawson)
We conducted a risk assessment of an Intelligent Banknote Neutralisation System for cash in transit, for a client of Blake Dawson
Association of Superannuation Funds of Australia
We undertook a review and provided comments on drafts of ASFA’s Best Practice Paper 19, A risk management framework for superannuation funds
Attorney-General’s Department, South Australia
We provided specialist risk management advice associated with litigation involving the auditors of State Bank of South Australia and Beneficial Finance Corporation
Austrac (Australian Transaction Reports and Analysis Centre)
We assisted Austrac develop an approach for assessing and monitoring risks associated with regulation and compliance with the Financial Transactions Reports Act 1988 (FTR Act)
We helped the company with the evaluation of risk management information systems and the selection of a preferred system provider
First Cape Management
We have worked with First Cape Management, a venture capital firm, to conduct risk assessments of companies that are potential or actual investment targets, many involved in high technology or biotechnology
We conducted an independent review of the effectiveness of Kinetic Super’s enterprise risk management (ERM) process, as required under the Superannuation Industry (Supervision) Act 1993, Superannuation Industry (Supervision) Regulations 1994 and APRA’s Prudential Practice Standard SPS 220, and developed recommendations for improvement
We undertook analyses to support a new marketing and product strategy for the firm, a leading broker on the Sydney Futures Exchange until 1997
MLC and Lend Lease Financial Services
We conducted strategic risk assessments to identify major business risks and key controls
We conducted risk assessments for the retail funds management and distribution functions, to assist in simplifying the controls
We conducted risk assessments for the IT function and for a pensions unit
Motor Accident Commission, South Australia
We conducted an independent organisational review of MAC, South Australia's provider of compulsory third party insurance, for the new Chief Executive Officer
Retirement Benefits Fund Tasmania
We provided enterprise risk management support, including a review of the Fund’s ERM framework and the development of a strategy and plan for implementing improvements
Other related work
We have also worked with investment companies in the property sector. Further details are provided here. Many of the same issues arise here as in the finance sector and some organisations’ operations encompass both sectors.
Broadleaf worked with the Large Business and International division of the Australian Tax Office (ATO) to develop a risk management process to determine priorities for strategic action, year by year, based on risks to the ATO’s corporate objectives.