Licensing and Compliance Consultants Directory2026-10-16T10:57:17+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.

Dario Sabljak

  • AFSL & ACL Applications and Variations.
  • AFSL & ACL Compliance Support.
  • AML/CTF Programs and Independent AML/CTF Evaluations/Reviews.
  • Wholesale and Retail Investment Fund Establishments.
  • Financial Services Law.
  • Digital Assets/Crypto Law, Licensing & Compliance.

Scott Martin

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

Andrew Jaajaa

  • Assisting Tranche Two Entities
  • AML Program Development
  • AML Risk Assessments
  • AUSTRAC Enrolment and Registration
  • Independent AML Program Evaluations/Reviews
  • AML/CTF Advisory and Compliance

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

Sumeer Pai

  • AML Program
  • AML Independent Evaluation
  • AML Training
  • AML Adviser

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

Jenny Mulders

  • AFSL Compliance advice
  • Governance & Advisory Committee member
  • General Insurance Risk and Compliance
  • MDA Advice and Operator Compliance
  • Investment Management Compliance

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

Brett Walker

  • AFSL applications
  • Ongoing AFSL compliance
  • Client file audits
  • Licencing and health checks
  • Initial Compliance Frameworks and ongoing services
  • ACL and AFSL (Wealth, Insurance, Funds, Super)
  • AML/CTF and Privacy
  • Adviser file audits

Alistair Hemming

  • AFSL applications, variations and transition support
  • Ongoing compliance support services
  • Advice audits
  • Licensee management and business consulting

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.

Regulatory News

  • 16 October 2026

    ASIC bans former MWL financial adviser Pardeep Singh for four years

    ASIC has banned former MWL Financial Services Pty Ltd (MWL)
  • 15 October 2026

    APRA welcomes Basel endorsement of Australia’s bank leverage ratio

    The Australian Prudential Regulation Authority (APRA) welcomes the Basel Committee
  • 15 October 2026

    ASIC consults on implementation of new digital asset laws

    ASIC has today commenced consultation on guidance and standards to
  • 15 October 2026

    APRA and RBNZ complete joint bank stress test to promote trans-Tasman resilience

    The Australian Prudential Regulation Authority (APRA) and the Reserve Bank
  • 14 October 2026
  • 14 October 2026

    ASIC review highlights need for stronger scrutiny of super fund valuations

    ASIC’s second review into the financial reporting and audit of
  • 14 October 2026

    APRA publishes 2025-26 Annual Report

    The Australian Prudential Regulation Authority (APRA) has published its Annual
  • 13 October 2026

    Trust, transparency and the future of financial reporting

    Keynote address by ASIC Chair Sarah Court at the G100
  • 13 October 2026

    ASIC review finds room for improvement in mortgage brokers’ best interests duty practices

    The mortgage broking industry should strengthen how it demonstrates that
  • 13 October 2026
  • 13 October 2026

    Former financial adviser Ezzat-Daniel Nesseim charged with breaching ASIC banning orders

    Former NSW financial adviser Ezzat-Daniel Nesseim, of Pymble, NSW, appeared
  • 12 October 2026

    ASIC moves to extend and strengthen CFD consumer protections

    ASIC is seeking feedback on its proposal to extend and
  • 12 October 2026
  • 9 October 2026

    Hollard fined $2 million for serious insurance claim delay

    Hollard Insurance Partners Limited has been ordered by the Federal
  • 8 October 2026
  • 1 October 2026

    ASIC remakes relief for client money held in cash common funds

    ASIC has remade a legislative instrument that allows Australian Financial
  • 30 September 2026
  • 30 September 2026

    ASIC updates relief for managed discretionary account service providers

    ASIC has issued a new legislative instrument to continue regulatory
  • 30 September 2026

    Reporting and audit update – Issue 5

    The Reporting and audit update covers regulatory developments in reporting
  • 30 September 2026

    ASIC increases low volume financial market transaction threshold by $1 million

    ASIC has remade a legislative instrument which exempts low-volume financial

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