STRESS FREE COMPLIANCE

About Us

Compliance Refinery has been growing quickly as we have been helping clients reduce stress and increase their productivity. We make it easy for Advisers to be in front of clients and not spending their time unproductively. We also help product providers and dealer groups ensure compliance across their networks in a productive and efficient manner.

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Our Services

 
 

Licensing (FAP Consulting)

FAP Consulting provides your business with custom solutions built to meet your specific needs.-We work with you and ensure you have the right structure (including contracts and licensing) and policies and procedures built to fit the size and skillsets in your business.

consultancy

Change is ever present but much more so now. We specialise in custom approaches to your business to assist in ensuring your business is adapting to new legislation.

Tools & Templates

We have created a fantastic set of tools to conduct testing on large groups of advisers in the advice space. These tools provide assurance that risks are identified and can be the focus of your compliance regime.

auditing & reviews

If you are looking for assurance that your standards meet requirements and better understand what best practice is, this is the product for you. We not only look at your processes, but we compare certain variables to the broader industry.

AML - CFT

We help to ensure that you are keeping the assessment current and that you are effectively determining the levels of risk faced by your business. Find out more.

Governance Services

The big change in the industry is that the FMA will now look at your business from a directors' perspective. Compliance Refinery has partnered with professional directors to provide Advisory Board services, Director Support and Compliance Officer training courses and tools and templates for your business. Find out more.

 
 

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 TESTIMONIALS

Testimonials

"We are proud to have Compliance Refinery be with us on our FAP journey because their collaborative approach and supportive culture give us confidence in our preparedness for operating in this new regime. We engaged Compliance Refinery to undertake FAP preparation and AML/CFT audits. The Team's communication style helped as there was no judgement - they were just encouraging and thought-provoking. They showed us how we can improve. And they get that we have a business to run so the pace worked for us. The team had a wealth of knowledge which allowed them to strip it down and make it less daunting. We learned how big an asset being a FAP can be - we now have a well-run business that the team are proud to be part of."

- Nick at Affinity Mortgages

“Our professional organisation sought the advice and guidance from The Compliance Refinery. Steve Burges not only filled us in on all the relevant legislation, but also highlighted many areas of compliance that we had not even considered. The investment in time and money was well worth it. This is one less headache to deal with in the new landscape we are facing”.

- Andy Phillipson