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
- FAAA member
Areas of Specialisation:
- Class actions
- Directors & officers liability
- Financial institutions
- Professional liability
- AFCA complaints
Cowell Clarke
Firm Type
Commercial Law
Contact
Richard Hopkin
- FAAA member
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
- FAAA member
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
- FAAA member
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
- FAAA member
Areas of Specialisation:
- Financial services law
- Financial services regulation and compliance
- Financial services contracts
Ariel & Associates
Firm Type
Compliance Consultants
Contact
Jeremy Danon
- FAAA member
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
- FAAA member
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
- FAAA member
Areas of Specialisation:
- AFLS applications and variations
- Compliance, regulatory & AML advice
- AFSL & advisor file audits
Kinetic Compliance
Firm Type
Compliance Consultants
Contact
Nadia Docker
- FAAA member
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
- FAAA member
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
- FAAA member
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
- FAAA member
Areas of Specialisation:
- Compliance programs
- AFSL and ACL licence applications and variations
- Assurance services
- Risk programs and workshops
- Training programs and RM workshops