Compliance & Risk Navigators

Your Partners in Financial Services Compliance & Risk Management

With FSRA the practice focused on the development and implementation of effective compliance and risk management frameworks in over 300 organisations around Australia to enable RMs and licensees to meet their licence commitments while providing a basis for improving shareholder value by building a stronger, more robust infrastructure throughout the organisation focused on achieving goals.

Since 2002, the practice has successfully presented over 60 seminars and training sessions on simple but effective systems and procedures for planning, monitoring and managing compliance and risk management in small and medium sized organisations. In addition, we has presented over 20 public and private overview sessions on Responsible Managers' Responsibilities and Duties (as defined under ASIC Regulatory Guide RG104 & RG105).

Compliance & Risk Navigators are regular presenters and trainer for ACI on compliance and risk management topics and is a hands-on locum Compliance Manager, Compliance Auditor and Responsible Manager coach for a number of financial services practices.

The principal of Compliance & Risk Navigators is a Certified Compliance Professional (CCP), Registered ASIC Agent, has a Diploma in Financial Services, a B. Economics and MBA as well as having a Cert 4 in Workplace Assessment and Training. He is also a member of the Compliance Institute of Australasia, the Risk Management Institute of Australasia and a Director of Australian Financial Service Educators.

The practice's philosophy is that "Compliance is a journey, not a destination" and "... the most effective method of achieving a culture of compliance is through constant improvement, not by being frustrated by process."

Compliance and Risk practitioners are the navigators for organisation to help guide them through the sometimes murky waters of regulation, process requirements and standards to arrive at the objective safely and on schedule.