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Helping you navigate the complex compliance landscape

We Understand the Australian Compliance Landscape

Compliance is a hot topic in the finance world and naturally being such a complex topic, it’s a concern to many brokers. That’s why we’ve got a team of people here to help with the heavy lifting. We offer support in Auditing, inductions and training so you know your obligations and with breach reporting through our industry leading CRM Infyntity.

 

 

CONTACT US

Induction & Training

We ensure every broker understands their obligations by providing comprehensive training and education sessions designed to keep them updated with the latest regulatory changes and industry practices.

 

  • The compliance portal offers easily digestible guides covering key topics such as Responsible Lending (NCCP) and the Mortgage Brokers’ Best Interests Duty, along with recorded webinars.
  • Our compliance-based training sessions are tailored to focus on regulatory insights, industry data trends, and effective compliance practices.
  • Weekly masterclasses on a range of topics, from basic compliance and industry trends to what to watch out for in the network.
  • Bespoke group training sessions to address specific business concerns and conduct regular consultative reviews to help you maintain and enhance your compliance awareness, framework, and policies. Our compliance insights training is offered quarterly, while regular masterclasses in smaller groups allow brokers to ask questions and engage more deeply with the material.

Supporting your success as a Credit Representative

Finsure is committed to supporting Credit Representatives by simplifying compliance processes and avoiding unnecessary burdens.

 

  • Our CRM is equipped with built-in compliance features that guide users through each step, minimising errors and ensuring adherence to the latest regulations.
  • Compliance Portal provides valuable resources and recorded training sessions, making it easy to access essential information and stay informed.
  • Dedicated compliance team available to offer support and guidance, ensuring you have the assistance you need.
  • Our complaints management system includes a dedicated Complaints Manager to handle complaints efficiently and liaise with AFCA if necessary.
  • Regulatory changes support, offering support before, during, and after implementation.
  • Compliance file reviews to ensure submissions align with NCCP and BID requirements, providing constructive feedback.
  • Our PD days, brokers have the opportunity to engage with our team face-to-face, ask questions, and receive direct compliance support.

Dedicated support to ACLs

Streamline your compliance journey with the dedicated support of our ACL Governance Specialist, who provides ongoing, personalised assistance tailored to those managing their own Australian Credit License.

 

  • Our annual assessment of licensing obligations involves a thorough review of key risks and licensing requirements, coupled with a consultation to evaluate your licensee governance. This process culminates in a report that serves as evidence of ongoing oversight.
  • Policy framework support, helping you establish and maintain the necessary policies that are regularly updated to reflect current regulatory standards.
  • Breach reporting, our CL Governance Specialist guides you through compliant procedures, ensuring that any issues are promptly and effectively addressed.
  • Dispute resolution by aligning complaint management with ASIC standards, and offer Professional Indemnity (PI) Insurance management.
  • Regulatory updates that impact ACL holders, providing guidance on adaptation and implementation through timely alerts and comprehensive training sessions. Our compliance file review service regularly monitors adherence to NCCP and BID requirements, ensuring both you and your credit representatives remain compliant.

Independent Licensee Support Snapshot

 

For businesses that maintain their own Independent Australian Credit License (ACL), Finsure offers additional support beyond the standard platform offering through our dedicated licensee specialist.

Annual Review of Core Licensee Obligations

Ensuring that compliance policies and procedures are established and maintained to cover obligations including Responsible Lending, Dispute Resolution, conflict of interest management, and Best Interest Duty.

Risk-Based Audit Assessments

Utilising both existing and predictive data trends and industry regulations to identify and manage key risk indicators within your business.

Policy Framework Maintenance

Support in building and implementing core policy frameworks.

Regulatory Management Support

Assistance with managing Reference Checking Obligations, Breach Reporting obligations, and preparing the Annual Compliance Certificate for ASIC (CL-50).

Regulatory Updates and Training

Receive email communications and participate in compliance webinars responding to regulatory updates affecting Credit License holders.

Dispute Resolution and Insurance Management

Assistance with External Dispute Resolution and Professional Indemnity (PI) Insurance management.

Compliance-Based Training Sessions

Tailored training sessions focusing on regulatory insights, industry data trends, and best compliance practices. We can also create bespoke group training sessions to address specific business concerns.

Investigative Support

Assistance with internal conduct investigations.

  • Get in touch today