Current & Recent Projects
APAC Stock-broking and Financial Advisory
Our client is an established financial services group which, through acquisition, is launching a new Stockbroking and Advisory business in Australia.
Our role is to build the Corporate Governance, Finance and Administrative infrastructure for the new firm. The role included establishing finance and governance frameworks as well as reporting and committee structures. Our remit also included leading the application process for an ASX Trading Membership including full AOP certification. The role had a strong cross border element around building distribution channels to and from China and Australia.
Private Wealth Management
Our client is launching a significant private wealth management business following a buy-out from a large global bank.
Our role is to assist the client with building the infrastructure and regulatory environment required to operate a private wealth manager in Australia. Specifically running the Company Secretarial and Corporate Governance aspects of the project.
Our client is an early stage investment and technology venture backed by one of Australia’s largest financial services firms. The aim is to provide a multi-market on-line investment platform to enable investors to access global markets through leading edge research and execution products.
Our role is to assist the client to build an appropriate finance and compliance infrastructure as well as advising on appropriate technology partners and distribution channels.
Independent Compliance Consultant
Our client is a leading boutique stockbroking and financial planning business specialising in wealth management and self-managed super.
Our role is to offer advice on the AFSL and other current compliance procedures and check-lists and carry out periodic audits and checks. In particular AML/CTF Laws, ASIC Market Integrity Rules, and Corporations Act. We also provide advice to management on compliance implications of current transactions and new products.
Subject Matter Expert
Our client is a global risk and governance consulting firm that has requested specific industry and functional expertise to assist a large trading house client.
Our role is to lead the Compliance workstream of the project and face off to the client in key meetings and workshops.