LICENSING & 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.

Jeremy Danon

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

Brett Walker

  • AFSL applications
  • Ongoing AFSL compliance
  • Client file audits

Stephen Kasanczuk
(0400-83-44-22 )

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

Monica Mackinnon

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

Larry Simon

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

Michelle East

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

Jenny Mulders

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

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

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

Keith Hockley
e: keith@lcs.net.au

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