Compliance + AML

For many financial services organisations, regulatory compliance has become their most significant risk area. Financial services is the most regulated industry in Australia, and the regulatory environment continues to evolve every year.

In-house compliance resourcing represents a quandary for many organisations. For all but the largest firms, employing compliance professionals is a significant commitment, and even if they do commit the competition for compliance staff is fierce, and the quality is highly variable.

Our AB Compliance services are geared towards solving these problems. Our outsourced compliance packages provide both flexibility and certainty - offering clients a tailored monthly fee that covers your base compliance obligations, with the option to scale up at discounted rates for unexpected circumstances or major projects.

Whether you are after continuous support, or just help with a one-off project, no-one will serve you better than AB. Our commercial, risk neutral approach allows us to take a more efficient and pragmatic approach to compliance, and if you do choose to partner with for the long-term we will be able get to know your business and access efficiencies that an intermittent external provider cannot.

Finally, unlike most compliance firms, AB’s compliance team has the support of a full-service law firm including in-house legal specialists - so no matter what issue emerges, we can manage it.

For most small or medium size firms, staffing an in-house compliance function is grossly inefficient.

— Scott Martin, Head of Compliance

Popular Solutions

Compliance Support Packages

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For a smaller AFSL holder, it simply makes no sense to resource compliance obligations internally, but relying solely on external advice is prohibitively expensive. Our outsourced packages are the solution you’ve been looking for.

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Compliance Projects -

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Compliance is rife with unexpected issues that lead to projects coming out of nowhere. Whether it’s in response to a breach, incident, or regulatory change, AB can step in to manage these projects for you, from inception to fruition.

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AML/CTF Programs: Creation / Review

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Setting up an AML/CTF Program can be complex and time consuming, and once that’s done, finding an experienced and commercially minded provider for your Independent Review is often just as difficult. Fear not, we have you covered.

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