What we do.

Consultancy.

We help you to understand your regulatory obligations and how to effectively comply with those obligations.

Assurance &
audit.

We can review your existing governance, risk and compliance frameworks to ensure that they comply with regulatory obligations. We can also help you to understand whether the frameworks within your business align with prevailing market views and the expectations of regulators.

Training.

We are passionate about empowering people through training. We offer bespoke in-person training and also digital training via our training platform.

Our digital training enables the people in your business to learn at their own pace and enables you to track their progress and assess their understanding.

Software.

We can help you to automate your compliance, risk, and assurance activities through software. We can also help your business and your directors to have better insight and oversight of these activities.

Our areas of expertise.

  • Guidance on regulatory obligations and how to effectively comply with those obligations.
  • Development of policies, documents, and tools to comply with regulatory obligations.
  • Preparation of financial advice provider licence applications.
  • Review of financial advice provider licence applications.
  • Development of policies, documents, and tools to comply with regulatory obligations.
  • Review of existing policies, documents, and tools.
  • External reviews and assurance testing.
  • Assistance with remediating observations from monitoring visits.
  • Initial and ongoing training.​
  • Preparation of market service licence applications.
  • Review of market service licence applications.
  • Development of policies, documents, and tools to comply with regulatory obligations.
  • Initial and ongoing training.
  • Review of existing policies, documents, and tools.
  • External reviews and assurance testing.
  • Assistance with remediating observations from monitoring visits.
  • Guidance on regulatory obligations and how to effectively comply with those obligations.
  • Registration on the FSP Register.
  • Assistance with ongoing obligations.
  • Guidance on regulatory obligations and how to effectively comply with those obligations.
  • Preparation of Risk Assessments and AML/CFT Programmes.
  • Review of existing Risk Assessments and AML/CFT Programmes.
  • External assurance testing.
  • Health checks and pre-AML/CFT Audit reviews.
  • AML/CFT Audits.
  • Initial and ongoing training.
  • Governance reviews.
  • Development of oversight and governance documents.
  • Board training.
  • Assistance with developing and implementing compliance assurance programmes.
  • Reviews of existing compliance assurance programmes.
  • Training on how to develop, implement and maintain a compliance assurance programme.
  • Training on how to undertake assurance testing, record and report the results from assurance testing, and remediate deficiencies identified through assurance testing.
  • Assistance with developing and implementing risk management frameworks.
  • Reviews of existing risk management frameworks.
  • Development of risk appetite statements.
  • Training on how to develop, implement and maintain risk management frameworks.
  • Training on how identify, manage, report, and communicate risks.
  • External reviews of governance, risk, compliance, and assurance frameworks.
  • Ongoing external assurance testing.
  • Assistance with remediating the observations from monitoring visits undertaken by a regulator.
  • AML/CFT audit in accordance with section 59 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
  • Assistance with remediating the observations from compliance and AML/CFT audits.
  • We offer in-person and digital training to all levels of an organisation.

We are the Knowledge Partner for VComply in New Zealand and Australia. VComply is an all-in-one cloud-based software solution that simplifies and automates compliance management, risk management, audit and assurance, policy management and issue and incident management.

Who we work with.

We focus on the industries and businesses where we know we can help to make the biggest difference.

  • Accountants. *
  • Brokers.
  • Banks.
  • Credit funds.
  • Client money and property servicer providers.
  • Equity crowd funding platforms.
  • Financial advice providers.
  • Financial leasing.
  • Forestry schemes.
  • High-value dealers. *
  • Independent trustees.
  • Issuers (equity and debt securities).
  • Kiwisaver providers.
  • Lawyers. *
  • Managers of managed investment schemes.
  • Non-bank non-deposit taking lenders.
  • Payment providers.
  • Payroll providers. *
  • Peer to peer lenders.
  • Property syndicators.
  • Real estate agents. *
  • Reporting entities subject to oversight by the Financial Markets Authority, Department of Internal Affairs and the Reserve Bank of New Zealand.
  • Stored value cards.
  • Supervisors.
  • Trust and company service providers. *
  • Venture Capital Firms.

* AML/ CFT services only.

What our clients say about us.

The Compliance Company worked with us to develop our understanding of our regulatory obligations. They took us to from having no understanding through to having an advanced understanding of not only our obligations, but also how to practically satisfy them in the context of our business. Their trainings were interesting, relatable, and engaging. I can’t speak highly enough of The Compliance Company and their training sessions.
Reporting entity
It’s difficult to do justice to the peace of mind that comes with working with The Compliance Company. You know that when you work with them, you have a trusted partner to your business that will go above and beyond for you.
Licensed manager of managed investment schemes
We have had the pleasure of working with Jeanette and team at The Compliance Company for several years now and can categorically state that they are the best in the industry. Their attention to detail and understanding of all the latest regulations has been key to implementing a practical and effective compliance framework bespoke to our business. Jeanette is always available to answer questions and provide valuable, strategic insights that help us stay ahead of the game. She and the team are deserving of the highest of our endorsements.
Licensed derivatives issuer
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