Our experts can provide you with independent compliance and risk management advice. Providing practical recommendations for improvement to your internal frameworks.


  • AFS licence applications and variations
  • Responsible manager AFSL applications

Compliance Plan development and monitoring

  • Provide assistance and training in the development and monitoring of your Compliance Program
  • Development and implementation of a compliance plan based on the legislative and regulatory obligations of the entity and in accordance with ISO 37301:2021 compliance management systems, and provide continual effectiveness monitoring

Independent reviews on operational areas

  • Review the effectiveness of operational frameworks (e.g. Conflicts of interest, AFS licensing obligations, provision of financial product advice, business continuity, anti-money laundering and counter-terrorism financing (AML/CTF), business processes and policies
  • Independent reviews on any operational area within the financial services industry

Regulatory and legislative advice

  • Provide advice on the impact of regulatory and legislative change on the product issuer and fund operations
  • Provision of up to date and tailored advice on regulatory and legislative requirements

Other services

  • AML/CTF Program development and implementation
  • Incident management and breach management framework development and management
  • Breach, incident and complaint investigations, including recommendations for regulator reporting where significant
  • Liaison with Regulators on Licensees behalf
  • Development and maintenance of policies and procedures
  • Document due diligence checklists and reviews
  • Tailored policy, checklist and template development

Risk Management Framework review

  • Review the effectiveness of your Risk Management Framework based on the requirements of ISO 31000:2018 Risk Management and relevant regulatory and legislative obligations, including recommendations for continuous improvement and insights into the latest thinking from the regulators

Risk culture review

  • Risk culture review including a written Report on our findings and recommendations for improvement

Risk management training and facilitation

  • Deliver facilitated training sessions on risk management within the superannuation and financial services environment
  • Risk and control identification workshop

Get in touch with our team

Contact Us