Licensing and Compliance Consultants Directory2024-03-01T08:08:27+11:00

LICENSING & COMPLIANCE CONSULTANTS DIRECTORY

Compliance Consultants Directory

We see Compliance Consultants as essential to good customer outcomes. Self-licensing is on the rise, ASIC is increasing scrutiny of regulated entities, and numerous legislative changes and other reforms are prompting all manner of financial services firms to seek the assistance of a Compliance Consultant.

Please find a list of Compliance Consultants who have joined our FEP community.

Please note: This is not an endorsement and we take no responsibility for the selection. Please do your own research as to whether they are the right fits for your compliance needs.

Scott Martin

  • Australian Financial Service Licence
  • Compliance Outsourcing
  • AML/CTF
  • Cyber & Privacy
  • Financial Services Legal Advice

Jeremy Danon

  • AFS Licence applications and variations
  • Compliance outsourcing
  • AML/CTF Programs
  • Corporate governance

Sean Graham

  • Australian Financial Service Licence
  • RG206 Australian Credit Licence
  • General Compliance
  • AML/CTF

Cheyenne Walker

  • AFSL, ACL & GI Compliance and Licensing
  • Corporate Governance Frameworks
  • Advisers & Brokers Client File Audits
  • Remediation and Investigations
  • Complaints & Breach Reporting Management

Michelle East

  • RG105 Responsible Manager (AFSL)
  • General Compliance
  • Non cash payments/FINTECH

Paul Hudson

  • General Compliance
  • AML/CTF
  • AFSL Compliance Specialists

David Carson

  • Consumer credit regime all aspects of regulatory obligations
  • Remediation programs
  • Detailed working knowledge of dealing with ASIC
  • General AFSL obligations

Jacqui Stewart
e: support@grcessentials.com.au

  • AFSL & ACL applications & variations
  • Licensee & whole business reviews
  • Representative & client file reviews
  • AML/CTF reviews
  • Compliance committee, investment committee & training committee meeting management
  • Full Compliance Programs
  • Policies & Procedures
  • GRCPlus AFSL Management Platform

Larry Simon

  • Licensing & Corporate Governance
  • Regtech
  • Documentation (including AML/CTF)
  • Training, Compliance Advice & “Health Checks”

Keith Hockley
e: keith@lcs.net.au

  • Ongoing Compliance Services to AFSLs/ACLs
  • Applications and variations
  • Licensee compliance administration & management
  • Compliance Specialists
  • WA based

Monica Mackinnon

  • Comprehensive AFSL review
  • AFSLs initial and ongoing obligations
  • AML/CTF requirements
  • Tailored Compliance Contracting

Jenny Mulders

  • MDA Advice and Operator Compliance
  • Risk Management Programs
  • AFSL, AML/CTF and General Compliance
  • Insurance Broking
  • Quality Assurance

Brett Walker

  • AFSL applications
  • Ongoing AFSL compliance
  • Client file audits

Stephen Kasanczuk
(0400-83-44-22 )

  • Governance, Risk & Compliance
  • Change Management
  • Strategic Planning
  • Training

Do you need an AFS licence?

If you want to run a financial services business, you generally need to be authorised under an AFS licence. Before you apply, check out ASIC’s AFS Licensing Kit.

AFS licensing kit

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