Assurance – reviews that improve quality, not just tick boxes
our assurance Services
Assurance should do two things: identify gaps and lift capability. We deliver whole-of-business and targeted reviews that fit around “business as usual” — with a clear, prioritised action plan and optional coaching to embed improvements.
Risk-based testing, clear reporting, and practical coaching to help small-to-medium AFSL/ACL holders evidence compliance and improve outcomes.
Assurance services
What you can expect
-
Risk-based scope & sampling (desk-based or on-site)
-
Plain-English findings with prioritised actions
-
Evidence you can rely on for boards, auditors, and regulators
-
Practical uplift through coaching and tools/templates where needed
How it works
-
Agree scope + timing (what we’ll test, sample size, stakeholders, deliverables)
-
Review & testing (documents, registers, files, interviews — desk-based or on-site)
-
Report + action plan (findings, risk rating, recommendations, owners, timeframes)
-
Optional coaching session to uplift capability and embed changes
Client File Reviews
Risk-based review of advice files to assess quality, compliance and evidence. You’ll receive clear findings, themes, and a practical uplift plan — including coaching where it will make the biggest difference.
Licensee Health Check
A whole-of-business “health check” to confirm your key licence obligations are identified, owned and operating effectively — and to pinpoint the highest-value improvements for the next 90 days.
AML/CTF Independent Review
Independent AML/CTF Program review to help you meet AUSTRAC expectations and strengthen your financial crime controls. We assess both design and operational effectiveness and provide a regulator-ready report.
Professional Year Program
Support for AFS licensees supervising new entrants through the Professional Year — with clear structure, check-ins and recordkeeping so the program is consistent, compliant and easy to run.