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)

Cuscal

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

Kinetic Superannuation

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

McIntosh Futures

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.