Compliance, Risk and Client Services
Onboards every client, verifies identity, runs the anti-money laundering program, manages privacy and information security, handles complaints and breach reporting, maintains the licence obligations and provides the front desk and client service team that answers enquiries across all three offices.
What the team is accountable for
- Onboard clients and verify identity
- Run the anti-money laundering and counter-terrorism financing program
- Handle complaints and internal dispute resolution
- Monitor licence obligations, breaches and training
- Answer and route client enquiries
How we know it is working
Who works here
Grace Whitmore
Grace runs the compliance program, complaints handling and anti-money laundering obligations, and has been the firm's compliance lead for eight years.
Jordan Blake
Jordan runs the Parramatta front desk, onboards new clients and completes identity verification, and joined the firm two years ago.
Where the work is recorded
Client Register
Holds every client's entity details, relationship owner, services engaged, anti-money laundering risk rating and identity verification status.
Complaints, Breaches and Compliance Register
Records complaints, suspected breaches, compliance incidents and training gaps with their assessment, actions, owners and close-out.
Jobs and Lodgement Tracker
Tracks every bookkeeping, payroll, activity statement, tax return and advisory job with its period, due date, preparer, reviewer and stage.
Assessment tasks in this department
Documents the scenarios use
- Anti-Money Laundering and Counter-Terrorism Financing Policy Policy
- Client Onboarding and Identification Form Form
- Complaint Record Form Form
- Complaints Handling and Internal Dispute Resolution Policy Policy
- Conflicts of Interest and Gifts Register Register
- Engagement Letter Template Template
- Loan Application Procedure Procedure
- Privacy and Information Security Policy Policy
- Responsible Lending and Best Interests Policy Policy