MenuCompliance Consultants Directory
New for 2025!
As professionals delivering high quality planning services to clients, FAAA members understand the value in obtaining input from a specialist. When financial planners, practices or licensees need compliance, legal or business development advice, the following practitioners may be able to assist.
Please note that the FAAA does not endorse any of the organisations or individuals below. It is the responsibility of the individual or entity engaging services to undertake their own due diligence and ensure the suitability of the provider for their requirements. We would recommend that you take the time to fully research the services that you need and shop around to find the practitioner that is the best fit for you and your practice.
By using this directory you agree to the terms set out at the bottom of this page, as well as the FAAA’s website terms, which can be found here.
AICS
Firm Type
Compliance Consultants
Contact
Cheyanne Walker
Areas of Specialisation:
- AFSL, ACL & GI compliance and licensing
- Corporate governance frameworks
- Advisors & brokers client file audits
- Remediation and investigations
- Complaints & breach reporting management
Assured Support
Firm Type
Compliance Consultant
Contact
Sean Graham
Areas of Specialisation:
- AFSL applications and compliance frameworks
- Dispute resolution
- Advice audits
- Coaching and training
- Regtech specialist
Cowell Clarke
Firm Type
Commercial Law
Contact
Richard Hopkin
Areas of Specialisation:
- AML, regulation & compliance
- ASIC investigations, notices and examinations
- Australian Financial Services Licensing
- Commercial transactions
GRC Essentials
Firm Type
Compliance Consultants
Contact
Jacqui Stewart
Areas of Specialisation:
- Compliance programs
- AFSL and ACL licence applications and variations
- Assurance services
- Risk programs and workshops
- Training programs and RM workshops
Hamilton Blackstone Lawyers
Firm Type
Financial Services Legal & Regulatory Solutions
Contact
Cristean Yazbeck
Areas of Specialisation:
- Virtual/fractional in-house legal services
- ASIC investigations & examinations
- Regulatory response management & assurance
- Thematic reviews & investigations
- Buy/sell agreements & due diligence on acquisitions
- Mediation & dispute resolution
IMAC Legal
Firm Type
Legal Firm and Compliance Consultancy
Contact
Ian McDermott
Areas of Specialisation:
- Financial services law
- Financial services regulation and compliance
- Financial services contracts
Integrity Compliance
Firm Type
Compliance Consultant & Financial Services Law Firm
Contact
Rhett Das
Areas of Specialisation:
- AFLS applications and variations
- Compliance, regulatory & AML advice
- AFSL & advisor file audits
Kinetic Compliance
Firm Type
Compliance Consultants
Contact
Nadia Docker
Areas of Specialisation:
- Comprehensive governance, risk & compliance support
- Training and education
- Advice file audits & pre-vetting
- AFSL applications and variations
- AFSL framework review and gap analysis
RMGC Consulting
Firm Type
Risk Management, Governance & Compliance
Contact
Gayle Cilfone
Areas of Specialisation:
- AFS licencing
- AFSL & adviser file audits
- Breach management
- Complaints handling
- Policy and standards
Zaju & Company
Firm Type
Compliance Consultants
Contact
Alistair Hemming
Areas of Specialisation:
- AFSL applications, variations and transition
- Compliance support & regulatory consulting
- Licensee management consulting
- Advice audits
- Representative training
Compliance Consultants Directory – Terms and Conditions
The FAAA offers its Compliance Directory service for the benefit of its Members and other Financial Services Professionals. The purpose of the Compliance Directory is to provide an accessible list of compliance and legal practitioners who may assist them in understanding their obligations in relation to the discharge of their financial planning duties. By using the Compliance Directory, you agree that:
- you will abide by these Terms;
- you are an FAAA member or other Financial Services Professional.
- you will use the information obtained from the Compliance Directory solely for the purpose of seeking legal or compliance guidance regarding financial planning obligations;
- you will not use the information obtained from the Compliance Directory: (i) for marketing, selling or advertising; (ii) to harass, intimidate or bully any counterparty or other person; or (iii) in any other way that is contrary to the purpose of the Compliance Directory;
- you use the Compliance Directory at your own discretion and risk.
- You will not seek to hold the FAAA responsible for any advice provided by a firm or practioner who’s details have been accessed via the directory
FAAA takes no responsibility for and makes no representations as to the:
- suitability of the compliance and legal practitioners included in the Compliance Directory to meet your particular needs;
- level of training or suitability of the compliance and legal practitioners for the services they may be required to perform;
You should always make your own enquiries as to the suitability of compliance or legal practitioners to carry out the nature and scope of the work which you seek to be undertaken. FAAA does not endorse and takes no responsibility for the accuracy of information or advice provided by, to or on behalf of the compliance and legal practitioners included in the Compliance Directory. FAAA does not accept responsibility for any form of loss or liability incurred by you arising directly or indirectly or in connection with any referral, irrespective of whether the loss or liability is the result of any negligence or other default on the part of FAAA. FAAA does not guarantee the existence, currency or adequacy of appropriate professional indemnity insurance of the compliance and legal practitioners included in the Compliance Directory.
AB Law
Firm Type
Financial Planning Legal Specialist
Contact
Nik Albrecht
- FAAA member
Areas of Specialisation:
- AFSL applications
- Compliance, regulatory & AML advice
- Outsourced in house counsel
- Managed investment schemes
- Financial products and platforms
Alexis Compliance and Risk Solutions
Firm Type
Compliance and Risk Management Consultants
Contact
Christina Kalantzis
- FAAA member
Areas of Specialisation:
- AFSL applications, variations & reviews
- Ongoing compliance management & support
- Representative audits, advice reviews & pre-vetting
- Director, adviser and responsible manager training solutions
- Regulator engagement and representation
Ariel & Associates
Firm Type
Compliance Consultants
Contact
Jeremy Danon
Areas of Specialisation:
- Compliance, regulatory & AML advice
- AFLS applications and variations
- Training
- Company secretarial
- Consumer advocacy (pro bono)
My Licensee
Firm Type
Compliance Consultants
Contact
Monica Mackinnon
- FAAA member
Areas of Specialisation:
- AFSL applications and variations
- AFSL governance
- Adviser client file reviews
- On-demand compliance support
- Policy development and document reviews
Wotton & Kearney
Firm Type
Insurance & Risk Legal Business
Contact
Thomas Cavanagh
- FAAA member
Areas of Specialisation:
- Class actions
- Directors & officers liability
- Financial institutions
- Professional liability
- AFCA complaints
