We partner with you to address your licence obligations and manage business related risks. Achieving Compliance was never so streamlined.
As a financial service provider, you are all too aware of the burden or potential burden of keeping up with today’s regulatory requirements and the need for an effective organisation-wide compliance and risk management program to help your company effectively demonstrate its commitment to adhering to relevant laws, industry codes, ethical standards and business values.
GRC Essentials can provide you with an all-encompassing, integrated compliance program that will best address your specific business needs as well as that of your regulatory obligations.
Our compliance programs don’t just target specific problem areas but establish a relevant comprehensive framework that will incorporate all aspects of your business, including: financial management, risk management, quality assurance, supervision and monitoring, training and operational requirements and procedures.
Our compliance services extend to:
Onboarding of Representatives
Compliance and Responsible Manager/Fit and Proper Person Assessments
Compliance Plans for registered and unregistered funds
Assistance with Overall Management of Licence Conditions
Review of Licence and Business Documents
Review and Assistance with Creation of Client Engagement and Advisory Processes
Complaints and Breach Handling Services
Assistance with Preparation for Regulatory Notices
Preparation and Review of disclosure documents including Financial Services Guide, Statements of Advice, Records of Advice, Product Disclosure Statements and Information Memorandum
We are your compliance officer, manager and consultant – it is not just one person you deal with, our Team brings their skill set to your business.
Risk Management Services
All successful businesses have effective risk management services in place. Whether your business is struggling or going through a growth spurt, GRC Essentials can help you find the right balance when establishing risk management services for your company.
Risk management services helps give your business a way to identify pertinent opportunities which may benefit your company, but will also simultaneously help you manage potential risks before they become issues to your growth and/or existence. Not only can GRC Essentials fit an appropriate risk management program to your business but we can do so minimising cost and inefficiencies.
We seek to always develop such programs in alignment with the Australian and ISO standards as well as your strategic business objectives. Should you have an existing program, we can assist you in tweaking your current program by making recommendations for improvement. We can also provide essential training that will help identify and mitigate business risks.
Our risk management workshop is designed to determine your appetite, identify risks and appropriate controls.