Alexis Compliance & Risk Solutions

Financial services compliance and risk management specialist consultancy firm based in Sydney.

Alexis compliance and risk solutions Pty Ltd (“Alexis”) is a financial services project management, compliance, risk and audit specialist consultancy firm based in Sydney.

Our clients are Financial Services providers who provide investment and financial planning services to retail and sophisticated investors. We partner with them to provide tailored risk and compliance solution.


At Alexis compliance and risk solutions Pty Ltd our services include;

AFSL Applications

At Alexis, we can assist you with all stages of obtaining an Australian Financial Services Licence (AFSL). Learn More »

Ongoing compliance Management

At Alexis, we work with you to make compliance as simple and practical as possible, so that it becomes part of your standard operating procedure.Learn More »

Representative audits

At Alexis, we review adviser client files to ensure compliance with ASIC Regulatory Guide 175, FASEA Standards, TPB, and your professional membership obligations. Learn More »

Director, Adviser and Responsible Manager Training

At Alexis, we have presented at industry conferences as subject matter experts in compliance. If you have particular areas you would like training on for you or your representatives, we can design a training presentation for you.Learn More »

Not sure where to start?

Contact Alexis compliance and risk solutions Pty Ltd today to find out how we can help you!


Audience feedback, received from SMSF Association National Conference

Presenter was excellent! Really enjoyed the interaction with audience and examples of what ASIC deems ‘not right’ – good to know where our practice stands in terms of these examples and areas we can improve

This session provided by Christina was fantastic! Aside from the great technical content of the other speakers, I found this session a great change from the normal technical focus that some event providers put together. This was from the point of view that we need to remember that we might provide advice etc. as part of day to day activity, but when things go wrong and legal issues are involved things can get messy. Excellent presentation on what a legal representative is going to ask of the adviser in the event of legal action by clients/Government authorities, and excellent update of statistics / areas on legal compliance focus. Love this session, keep this in for future events

I found this session very engaging. I am not a financial advisor and learnt a lot that I didn’t know. Christina’s presentation of real case examples were extremely interesting and eye opening. I would like to listen to more of her talks

As a Governance & Risk officer this was the main reason I subscribed to the Webinar. Some good content and BID warnings, much appreciated

Very thought provoking – could feel the atmosphere change in the room as delegates began to understand the implications of not documenting everything thoroughly

Very interesting (and scary) presentation where I definitely took the message of “3 pieces of evidence for every decision” within the file

I come from a compliance background so this was a great session! A little dark – but great nonetheless

The presenter Christina Kalantzis is very knowledgeable on this subject and she is an excellent presenter. Christina also provided some very good real life examples in relation to this subject matter

Fantastic presentation, really worthwhile and made me re-evaluate the process. More of this please.

Excellent session! Very relevant in current environment. Excellent speaker

Highlight of the day. Got a lot out of the session and will definitely be looking at my processes



Suite 201/377 Kent Street SYDNEY NSW 2000


0414 955 963