Licensee Solutions

Professional Standards Consulting

Our Professional Standards team comprises of compliance consultants who are commercially focused. Their wealth of experience ranges from private practice (legal) and industry compliance, to ASIC and FOS. 

Using a consultative coaching approach, they work with you to continue to build on your professionalism.

With their assistance, you’ll be able to implement a professional standards and risk management framework that will enable you to improve business processes and reduce compliance risk.

They’ll provide guidance, training and support through:

  • a dedicated Professional Standards Consultant to work with you
  • regular Professional Standards reviews to ensure you’re on track
  • phone support to answer any questions
  • file audits
  • regular updates and communication on industry updates and changes
  • a range of tools and templates to minimise risk and deliver best practice outcomes
  • Responsible Manager training for Dealer Principals and Responsible Managers

Their goal is to deliver quality outcomes and experiences at all times for our advisers. And to work with you to deliver these same outcomes for your clients.