Making compliance easy

Estate agent businesses may establish a compliance program as a voluntary exercise or as part of an enforcement action by the regulator.

What is a compliance program?

A compliance program is an internal process applied by the estate agency office to assist it to:

  • Identify and reduce the risk of contravening relevant legislative requirements, internal policies and procedures and codes of conduct
  • Manage any breaches that may occur
  • Create a culture of compliance within the office.

Compliance programs are often used as part of Consumer Affairs Victoria’s and the Australian Competition and Consumer Commission’s enforcement activities and may require the estate agency to:

  • Appoint a senior director or manager with suitable qualifications or experience in compliance as a Compliance Officer
  • Appoint a compliance professional with experience with the relevant legislation as a Compliance Adviser to conduct a Risk Assessment to identify areas the estate agency is at risk of breaching, assess the likelihood of these risks and consequences to the estate agency business and operations should they occur, identify gaps in the estate agency’s existing procedures for managing these risks and providing recommendations to the estate agency
  • Develop and implement a compliance policy
  • Develop and implement a complaints handling system consistent with the relevant AS/ISO standard
  • Have the appropriate whistleblower protections mechanisms
  • Implement training programs
  • Establish appropriate monitoring and reporting processes.

Leveraging off over 15 years of regulatory experience, the Apex HR team can work with estate agencies to implement effective compliance programs to satisfy regulator requirements, establish best practice and a culture of compliance in your operations.

What makes Apex HR stand out from the rest?

Diana Bevacqua delivers expert Audit & Compliances services to the Victorian Real Estate Industry. She has a highly specialised leadership skillset in Risk, Audit and Governance and is experienced in leading and delivering transformative change. Central to her success is her passion for regulation and her ability to engage, influence and build meaningful rapport with estate agents.

Diana formalised her 15 years of experience and technical knowledge of regulatory compliance with a Masters in Regulatory Studies. She has a strong technical understanding of the dynamics of implementing Risk, Governance, Compliance and Assurance programs. She is also adept at discussing business challenges and regulatory obligations with real estate agents.

In 2016 Diana joined Apex HR; a dynamic Registered Training Organisation that helps real estate businesses improve efficiencies and effectiveness through top-level training, governance and compliance services.

Through her work in Apex HR, Diana helps businesses in the real estate sector to reduce their risk of non-compliance and increase their levels of efficiency and effectiveness by adopting a pro-active approach to compliance and business processes.

Drawing on her 10 years’ experience with Consumer Affairs Victoria, Diana is dedicated to working closely with estate agents to ensure that their business operations and processes are in line with industry best practice.

As a leading thinker and influencer in the areas of governance and compliance within the real estate industry, Diana is available for media commentary.

 

Arrange your complimentary no obligation meeting

Either phone us on 03 9755 7453 or complete the form below

Don't just take our words, let our customers do the talking!