AML Adviser for Australian Reporting Entities

 

Chartered Secretary (FGIA) and Certified AML Specialist (CAMS)
Member of Governance Institute of Australia, ACAMS and GLEIF

 

AML Adviser

Anti-Money Laundering Adviser

  1. AML Independent Review
  2. AML Program (Part A and Part B)
  3. AML Risk Assessment
  4. AML Training
  5. KYC Managed Service (s37)
  6. Remediation
  7. Registration with AUSTRAC
  8. AML Officer for Reporting Entity
  9. Reliance Provisions – initial due diligence (s37A(1)(b)
  10. Reliance Provisions – regular assessment every 2 years (s37B)

KYC Agent

KYC Managed Service

  • Customer identification (eKYC)
  • Customer verification  (DVS)
  • Sanctions screening   (daily)
  • PEP + RCA + Adverse Media (daily)
  • Fraud monitoring (optional)
  • Credit check  (optional)

Identity Agent

 

  • DVS – Identity verification of individuals
  • VOI – Verification of Identity
  • POI – Proof of Identity
  • FVS – Facial verification for government departments
  • SSI  – Self-sovereign identity
  • Biometric – Biometric facial verification
  • NFC – Biometric identity verification using NFC

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

 

  • External Director of retail CCIV
  • Resident Director of foreign company
  • Non-Executive Director (NED)
  • Compliance Committee member
  • AML Officer/ AML Adviser
  • Responsible Manager for AFSL
  • Company Secretary
  • Nominee Director

Managed Funds

Compliance Manager for Funds

  • Registration of MIS/ CCIV with ASIC
  • Compliance Plan monitoring
  • Compliance Committee
  • Compliance sign off on PDS and marketing material
  • Operational Due Diligence (ODD)
  • Governance for ESG funds

ABOUT US

Fintech Compliance is a Chartered Secretary practice offering Compliance and AML services for Australian companies 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
  • Entities applying for a Legal Entity Identifier (LEI) to comply with ASIC CP 334
  • Startups who want to outsource their complete AML requirements including KYC
  • Sanctions Screening of borrowers (ie customers of commercial lenders and credit funds)
  • Crypto exchanges (DCE) and crypto funds based in Australia who need to comply with Travel Rule and wallet screening

If you have any questions reach out to us via the form below and we will reply on the same day.

CONTACT US