OUR SERVICES

 
 

Licensing (FAP Consulting)

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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.

Auditing and Reviews (Health Check)

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The Health Check analyses your business providing in-depth, specific feedback as your business transitions to becoming a FAP. The Health Check is a readiness test during your decision-making process for becoming a FAP and a plan to achieve FAP status.

Consultancy

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

Tools and Templates

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Compliance Refinery has 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.

AML - CFT

Compliance Refinery helps businesses to meet their obligations under legislation which includes AML/CFT Risk Assessments, Compliance Programmes and Independent Audits. The legislation requires you to have your Risk Assessment and AML/CFT Programme independently audited every two years, or at any other time at the request of FMA.

 

 mEET OUR TEAM

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