Ongoing Compliance

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.

Australian Financial Services Licence (AFSL) holders have a variety of obligations which must be adhered to in order to ensure compliance with the law. As such, Alexis Compliance will provide you with ongoing compliance solutions. This includes but is not limited to:

  • informing you of important regulatory and industry updates
  • updating compliance policies and procedures
  • preparation of regular compliance reporting to Compliance Committee or Board of Directors
  • creation of a compliance calendar to distribute the compliance tasks to responsible persons, making it easier to meet obligations.
  • responding to all ad hoc compliance queries and issues
  • responding to compliance questions and issues
  • designing and implementing a robust monitoring and supervision program
  • review of client files
  • liaising with internal compliance personnel and assisting with responses to regulator queries
  • conducting an external AFS Licensee compliance review.

Compliance Services

Alexis Compliance Meetings will include chairing, minuting, regulatory training, and a response to compliance questions and issues.

At Alexis, we redesign your policy and procedures to ensure they comply with the most current legislation. This includes reviewing and redesigning disclosure statements such as your FSG’s and SOA’s, marketing disclosures, complaints and breach management.

At Alexis, we respond and manage your complaints, breaches and prepare remediation programs as required to address issues arising from compliance concerns.

Make an Appointment

Please fill in the contact form if you’d like to Arrange an appointment to meet with Christina and the Team at Alexis Compliance & Risk Solutions.