Assured Support | Financial Services Compliance Experts | Compliance infrastructure

Assured Support provides Enterprise Risk Management for Australian financial services and credit licensees from Chatswood in Sydney, supporting AFSL and ACL holders since 2012.

• Independent licensee reviews, compliance manuals and governance frameworks translate AFSL and ACL obligations into workable processes, prioritising conduct and advice risk over box ticking.
• Adviser file reviews draw on a benchmark database of more than 22,000 historical file reviews, typically covering up to four files per adviser, with reporting that separates significant risks from immaterial findings.
• The firm’s complye platform records governance oversight, breach assessment and regulatory change tracking, aligned with ISO 37301 compliance controls and ISO 31000 risk management.
• The team includes special counsel with over 30 years in financial services, members who have acted as independent expert witnesses in Federal Court proceedings, and authors of more than 620 compliance and governance articles published since 2013.

Best for: boards, Responsible Managers and compliance teams of AFSL or Australian credit licensees that need an independent partner to build defensible risk and governance infrastructure.

Assured Support delivers Compliance and Mandatory Training for Australian financial services and credit licensees, run online or in-person from its Sydney base.

• Private sessions are tailored to each role, with tracks for Responsible Managers, advisers, compliance teams and operational staff.
• Topics cover breach reporting, AFCA complaints, AFSL obligations and ASIC enforcement trends, taught through interactive client scenarios.
• Content is adjusted to each licensee’s services and authorisations and can generally be structured to support CPD requirements.

Best for: AFSL or credit licensees that need practical compliance training for Responsible Managers and adviser teams.