Hassle Free Compliance

Your challenge is real. Never has financial services been more in the spotlight.
We offer a tailored, cost-effective and practical solution to how you meet your AFSL obligations.

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What We Do

We are the leading provider of compliance content and tools to Australian Financial Services Licence (AFSL) holders.

We’re lawyers and compliance professionals who’ve worked for regulators and in business. We know financial services. We know GRC. And we know how to make it work for your business.

We take complex legal and governance obligations, translate them into plain English programs, policies and procedures, and distribute them online through secure, web-based platforms.

Here’s How

Our complete GRC solution is designed to meet each client’s specific compliance needs and includes:

Policies

Tailored policies, procedures, training and testing content which includes ongoing content updates, drafted in line with key changes and/or commercial best practice by our team of industry specialists.

Platform

A separate, secure, online workflow engine designed to capture, assign, monitor and report on key compliance tasks, risks and incidents.

People

Expert consulting, audits and training including AML/CTF independent review and license application consulting, responsible manager training, annual risk audits and much more.

“CompliSpace provides Anchorage Capital Partners with high quality governance infrastructure and professional services when required. System upgrades ensure that our policies are maintained and updated as legislation changes, thus assisting us in meeting our compliance obligations under our AFS license. We enjoy a beneficial association with CompliSpace, taking advantage of their regular workshops and working with them to tailor our program to our industry specific requirements.”

Anchorage Capital Partners

We Can Help You With:

Clients We Serve

 

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FAQs

We already have a Compliance Manager, does CompliSpace replace this function?

Whilst some clients outsource more functions than others, we provide all clients with tailored content and tools to assist them to streamline the way in which they manage their compliance obligations.

So, regardless of whether the client has limited compliance resources, or whole compliance teams, we assist each client to significantly reduce the amount of time spent on certain compliance activities, including policy drafting/maintenance, creating and delivering internal training, ongoing compliance monitoring as well as reductions in the amount of time allocated to producing reports at various levels across each business.

Do we just receive generic template policies that we need to amend ourselves?

No, all content is tailored for each client by our team of content specialists, managed through our centralised Editorial Team.   

How do we know when changes to our content occurs?

Each client is allocated a GRC Consultant upon initial engagement. When changes to existing content occurs, or new content is created, the GRC Consultant will contact the relevant client to take them through the changes, including the associated content update review process, but all content changes are ultimately controlled by the client.

Content alerts vary but includes blog publications, whitepapers, webinars/videos, and implementation guides.             

Can our Auditors access our systems?

Yes. Some clients even provide their auditors with temporary access to their systems during their annual audits. Once established, key information is centralised which significantly reduces the amount of time and costs attributed to the audit process.  

Can we add our own content and training material into our platform?

Yes. In addition to benefiting from tailored CompliSpace policies, procedures and training and testing material, client administrators have full editing privileges, allowing unique client policies, procedures and training material to be added to the central platform at any point.

Does CompliSpace provide financial services consulting services?

Yes, in addition to our unique Fundamentals & Assurance delivery model, we also provide traditional consulting services. See our consulting page for further details.