AML Adviser for Australian reporting entities

 

Member of Governance Institute of Australia, ACAMS and GLEIF

 

Chartered Secretary and Certified AML Specialist (CAMS)
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AML Adviser

Anti-Money Laundering Adviser

  1. AML Officer for Reporting Entities
  2. AML Program (Part A and Part B)
  3. AML Risk Assessment
  4. AML Training
  5. AML Independent Review
  6. KYC managed service (s37)
  7. Remediation
  8. Registration with AUSTRAC
  9. Reliance provisions – Tranche 1.5

KYC Agent

Customer onboarding

  • Customer identification (eKYC)
  • Customer verification  (DVS)
  • Sanctions screening   (daily)
  • PEP + RCA screening (daily)
  • Adverse Media screening  (daily)
  • Risk rating of customer (onboarding)
  • Fraud monitoring (optional)
  • Credit check  (optional)
  • Crypto wallet screening (optional)
  • Source of funds verification for income from salary

Identity Agent

Face to Face verification (in-person)

  • Verification of Identity (VOI)
  • Proof of Identity (POI)

LEI  Issuer

Legal Entity Identifier

Purchase LEIs for:

  • 1 year – $105
  • 3 years – $300
  • 5 years – $450

All prices in AUD (Australian dollar)

Non-Executive Roles

 

  • Chartered Secretary (FGIA)
  • Certified AML Specialist (CAMS)
  • Responsible Manager for AFSL
  • Non-Executive Director (NED)
  • Company Secretary
  • Compliance Committee member
  • Local Agent of foreign company
  • Resident Director of foreign company
  • Nominee Director
  • Independent Compliance Consultant
  • Compliance Advisor for startups and regtechs

Managed Funds

 

  • Registration of MIS with ASIC
  • Compliance Plan monitoring
  • Compliance Committee reporting
  • Compliance sign off on PDS and marketing material
  • Operational Due Diligence (ODD)
  • Compliance System (RG 132)
  • GS 007 procedures
  • Lodgement ASIC forms
  • CCIV and Asia passport fund

About 

Fintech Compliance is a Chartered Secretary practice offering Compliance,  AML and KYC Agent services for Australian entities regulated by ASIC, AUSTRAC, ARNECC and TPB.

We are members of the Governance Institute of Australia,  ACAMS  and GLEIF.

 

Our clients include:

  • AFSL and ACL licensees regulated by ASIC
  • AML Reporting Entities regulated by AUSTRAC – fund managers, trustees, lenders, stock brokers, remitters,  bullion dealers, DCE, payday lenders, startups
  • Entities requiring Verification of Identity (VOI) to comply with ARNECC eg. Mortgage Brokers, Aggregators, Mortgagees, Conveyancers
  • Entities requiring Proof of Identity (POI) to comply with ATO/ TPB eg. Tax Agents, BAS Agents, Accountants
  • Australian entities applying for a Legal Entity Identifier (LEI) from GLEIF for purposes of complying with ASIC CP 334
  • Startups that want to outsource their complete AML requirements including KYC

If you are interested in any of our services please reach out via the contact form below. We will reply straight away during business hours (Sydney time zone).

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