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Our Services

The Thrive Licensing Plan
How we work with your business
Director Support Services

The Thrive Plan - FAP Licensing

The Thrive plan is an end to end licensing tool allowing Adviser Businesses to Thrive through the licensing process and beyond. Below is a timeline that takes you through the process to ensure you are in the optimal place for your business to Thrive.

Director Support Services

• Compliance Refinery will assess your business to ensure the business has efficient process and oversight in place. This allows Directors the ability to better formulate business plans.
• We also help you create a customised business governance framework to ensure your business is ready to adjust to the new licensing regime.

Compliance Officer Services

• Work with Advisers or Advisers Businesses to provide assurance clients are getting the best possible service. We provide a detailed report, best practices and isolate areas that need immediate improvement.
• We work with business to improve current processes in place.

On-going oversight

• Compliance can be daunting, if you want to spend your time in front of clients you can hire Compliance Refinery to work within your business to provide oversight and assurance, reporting to Directors of the business. This is a great way to access high level compliance professionals at an economy of scale.

About

I am a longstanding compliance professional with upstanding integrity. I have been employed at the FMA and IIROC, the Canadian Securities Regulator. I have four years’ experience working in areas related to FAA at a large NZ Financial Services Company and 7 years’ experience in both big banks and boutique firms in Canada. Through my career I have had oversight of over more than 100 Adviser Businesses. I have developed a deep appreciation for the Adviser/Client relationship while focusing on client outcomes. My skillset brings both a top-down and bottom-up approach, which allows me to navigate senior level personnel and regulators while fully understanding the adviser/client interaction.

Steven Burgess

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