Compliance Consultants Directory

New for November 2024!

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 below, it is the responsibility of the individual or entity engaging services to undertake their own due diligence, to 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.

Wotton & Kearney

Firm Type
Insurance & Risk Legal Business

Contact
Thomas Cavanagh

Areas of Specialisation:

  • Class actions
  • Directors & officers liability
  • Financial institutions
  • Professional liability
  • AFCA complaints

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

AB Law

Firm Type
Financial Planning Legal Specialist

Contact
Nik Albrecht

Areas of Specialisation:

  • AFSL applications
  • Compliance, regulatory & AML advice
  • Outsourced in house counsel
  • Managed investment schemes
  • Financial products and platforms

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

 

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

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)

 

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

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

My Licensee

Firm Type
Compliance Consultants

Contact
Monica Mackinnon

Areas of Specialisation:

  • AFSL applications and variations
  • AFSL governance
  • Adviser client file reviews
  • On-demand compliance support
  • Policy development and document reviews

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

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