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 understand the complexities of keeping pace with the ever-evolving regulatory environment. The importance of a comprehensive compliance and risk management strategy cannot be overstated, as it showcases your dedication to upholding relevant laws, industry guidelines, ethical practices, and your organisation’s values. At GRC Essentials, we specialise in delivering a holistic and integrated compliance programme that is specifically designed to meet your business’s unique needs and regulatory responsibilities. Our approach goes beyond merely addressing isolated compliance issues; we create a thorough framework that encompasses all dimensions of your operations, including financial oversight, risk assessment, quality control, monitoring, training, and essential operational protocols.

Our compliance services extend to:

Understanding that each organisation has its own set of challenges, we offer tailored solutions that effectively manage the intricacies of compliance and risk. Our skilled team works hand-in-hand with you to develop strategies that not only meet regulatory requirements but also enhance your overall operational performance. By trusting us with your compliance needs, you can focus on what you do best while we navigate the complexities of the regulatory landscape. Our commitment to ongoing improvement ensures that your compliance framework evolves with changing regulations and industry standards, providing you with confidence and a competitive edge in the market.

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Onboarding of Representatives

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Compliance Manuals

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Compliance and Responsible Manager/Fit and Proper Person Assessments

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Compliance Plans for registered and unregistered funds

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Assistance with Overall Management of Licence Conditions

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Review of Licence and Business Documents

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Review and Assistance with Creation of Client Engagement and Advisory Processes

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Complaints and Breach Handling Services

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Assistance with Preparation for Regulatory Notices

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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.