{"id":93854,"date":"2025-05-27T16:22:26","date_gmt":"2025-05-27T16:22:26","guid":{"rendered":"https:\/\/demo.abmglobalcompliance.com\/au\/?page_id=93854"},"modified":"2025-10-10T13:23:02","modified_gmt":"2025-10-10T13:23:02","slug":"financial-services","status":"publish","type":"page","link":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/","title":{"rendered":"Financial Services"},"content":{"rendered":"\t\t
\n\t\t\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Regulatory Licensing & Registration<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

ABM assists clients in obtaining the required registrations and licences with Australian regulators such as the Australian Securities and Investments Commission (ASIC), the Australian Transaction Reports and Analysis Centre (AUSTRAC), and the Australian Prudential Regulation Authority (APRA) where applicable. We guide firms through complex application processes for Australian Financial Services (AFS) licences, Australian Credit Licences (ACL), and registration as a Remittance Service Provider or Digital Currency Exchange (DCE) with AUSTRAC. Our experts ensure compliance with the Corporations Act 2001, AML\/CTF Act 2006, and other relevant laws, helping clients meet fit-and-proper requirements and maintain strong regulatory relationships.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"Regulatory\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Compliance Framework Development<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

We design and implement customised compliance programs tailored to your operations and Australian regulatory obligations. This includes drafting robust policies and procedures covering Anti-Money Laundering (AML), Counter-Terrorism Financing (CTF), Know Your Customer (KYC), data privacy under the Privacy Act 1988, and risk management standards. Our frameworks equip businesses to proactively identify and address compliance risks, ensuring ongoing alignment with ASIC, AUSTRAC, and APRA expectations.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t
\n\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t<\/i>\t\t\t<\/span>\n\t\t\t\t\t\tContact Us<\/span>\n\t\t<\/span>\n\t\t\t\t\t<\/a>\n\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Anti-Money Laundering and Counter-Terrorism Financing (AML\/CTF)<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

ABM develops comprehensive AML\/CTF programs that meet the requirements of the AML\/CTF Act 2006, AUSTRAC guidance, and Financial Action Task Force (FATF) recommendations. We assist with implementing effective customer due diligence (CDD) and enhanced due diligence (EDD) processes, sanctions and PEP screening, transaction monitoring systems, and suspicious matter reporting (SMR) protocols. These measures strengthen financial crime detection and mitigation across your business.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"ABM\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Internal Audit & Compliance Reviews<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

Our independent audit services assess the effectiveness of your compliance controls, AML\/CTF program, and governance framework. We perform gap analyses against ASIC, AUSTRAC, and APRA regulatory requirements, delivering detailed remediation plans. Regular compliance health checks prepare organisations for regulatory audits and help avoid enforcement action.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Book a Free Consultation \u2013 Get Licensed\u00a0Faster!<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t
\n\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t\t\t\n\t\t\t\t<\/i>\t\t\t<\/span>\n\t\t\t\t\t\tContact Us<\/span>\n\t\t<\/span>\n\t\t\t\t\t<\/a>\n\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Ongoing Compliance Support & Outsourcing<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

ABM offers outsourced compliance roles including Compliance Officer, Money Laundering Reporting Officer (MLRO), and Data Protection Officer (DPO). We provide ongoing monitoring of regulatory changes, conduct compliance impact assessments, manage AUSTRAC reporting obligations, and support governance reporting to boards and senior management. This is an ideal solution for start-ups and mid-tier firms seeking cost-effective, expert compliance support without the overhead of in-house teams.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Regulatory Inspections & Enforcement Preparation<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

We prepare clients for regulatory inspections by conducting readiness reviews and mock audits based on ASIC, AUSTRAC, and APRA expectations. Our team assists with developing response strategies, drafting submissions, and implementing corrective action plans. This proactive approach minimises enforcement risks and strengthens your organisation\u2019s regulatory readiness.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t
\n\t\t\t\t\t
\n\t\t
\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t

Training & Capacity Building<\/h2><\/div>
<\/div><\/div>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t

ABM provides tailored training programs to enhance compliance awareness and capability across your organisation. Training covers AML\/CTF obligations, sanctions compliance, market conduct standards, breach reporting, and ethical business practices. We also deliver board and executive briefings to ensure leadership is informed and prepared to meet their governance and compliance responsibilities.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t

\n\t\t
\n\t\t
\n\t\t\t\t
\n\t\t\t\t
\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\"\"\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"

Regulatory Licensing & Registration ABM assists clients in obtaining the required registrations and licences with Australian regulators such as the Australian Securities and Investments Commission (ASIC), the..<\/p>\n","protected":false},"author":2,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"class_list":["post-93854","page","type-page","status-publish","hentry"],"yoast_head":"\nFinancial Services Advisory | ABM Global Compliance<\/title>\n<meta name=\"description\" content=\"Explore financial services consulting. We support firms with compliance, governance, and risk management across multiple regulated sectors.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/abmglobalcompliance.com\/au\/financial-services\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Financial Services Advisory | ABM Global Compliance\" \/>\n<meta property=\"og:description\" content=\"Explore financial services consulting. We support firms with compliance, governance, and risk management across multiple regulated sectors.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/abmglobalcompliance.com\/au\/financial-services\/\" \/>\n<meta property=\"og:site_name\" content=\"ABM Global Compliance Australia\" \/>\n<meta property=\"article:modified_time\" content=\"2025-10-10T13:23:02+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/abmglobalcompliance.com\/au\/wp-content\/uploads\/sites\/6\/2025\/09\/Regulatory-Expertise-and-Advisory.webp\" \/>\n\t<meta property=\"og:image:width\" content=\"1170\" \/>\n\t<meta property=\"og:image:height\" content=\"694\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/webp\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"4 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/\",\"url\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/\",\"name\":\"Financial Services Advisory | ABM Global Compliance\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/#primaryimage\"},\"image\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/wp-content\\\/uploads\\\/sites\\\/6\\\/2025\\\/09\\\/Regulatory-Expertise-and-Advisory-768x456.webp\",\"datePublished\":\"2025-05-27T16:22:26+00:00\",\"dateModified\":\"2025-10-10T13:23:02+00:00\",\"description\":\"Explore financial services consulting. We support firms with compliance, governance, and risk management across multiple regulated sectors.\",\"breadcrumb\":{\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/#primaryimage\",\"url\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/wp-content\\\/uploads\\\/sites\\\/6\\\/2025\\\/09\\\/Regulatory-Expertise-and-Advisory.webp\",\"contentUrl\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/wp-content\\\/uploads\\\/sites\\\/6\\\/2025\\\/09\\\/Regulatory-Expertise-and-Advisory.webp\",\"width\":1170,\"height\":694,\"caption\":\"Regulatory Expertise and Advisory\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/financial-services\\\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Financial Services\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/#website\",\"url\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/\",\"name\":\"ABM Global Compliance Australia\",\"description\":\"\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\\\/\\\/abmglobalcompliance.com\\\/au\\\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"en-US\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Financial Services Advisory | ABM Global Compliance","description":"Explore financial services consulting. We support firms with compliance, governance, and risk management across multiple regulated sectors.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/","og_locale":"en_US","og_type":"article","og_title":"Financial Services Advisory | ABM Global Compliance","og_description":"Explore financial services consulting. We support firms with compliance, governance, and risk management across multiple regulated sectors.","og_url":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/","og_site_name":"ABM Global Compliance Australia","article_modified_time":"2025-10-10T13:23:02+00:00","og_image":[{"width":1170,"height":694,"url":"https:\/\/abmglobalcompliance.com\/au\/wp-content\/uploads\/sites\/6\/2025\/09\/Regulatory-Expertise-and-Advisory.webp","type":"image\/webp"}],"twitter_card":"summary_large_image","twitter_misc":{"Est. reading time":"4 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/","url":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/","name":"Financial Services Advisory | ABM Global Compliance","isPartOf":{"@id":"https:\/\/abmglobalcompliance.com\/au\/#website"},"primaryImageOfPage":{"@id":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/#primaryimage"},"image":{"@id":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/#primaryimage"},"thumbnailUrl":"https:\/\/abmglobalcompliance.com\/au\/wp-content\/uploads\/sites\/6\/2025\/09\/Regulatory-Expertise-and-Advisory-768x456.webp","datePublished":"2025-05-27T16:22:26+00:00","dateModified":"2025-10-10T13:23:02+00:00","description":"Explore financial services consulting. We support firms with compliance, governance, and risk management across multiple regulated sectors.","breadcrumb":{"@id":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/abmglobalcompliance.com\/au\/financial-services\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/#primaryimage","url":"https:\/\/abmglobalcompliance.com\/au\/wp-content\/uploads\/sites\/6\/2025\/09\/Regulatory-Expertise-and-Advisory.webp","contentUrl":"https:\/\/abmglobalcompliance.com\/au\/wp-content\/uploads\/sites\/6\/2025\/09\/Regulatory-Expertise-and-Advisory.webp","width":1170,"height":694,"caption":"Regulatory Expertise and Advisory"},{"@type":"BreadcrumbList","@id":"https:\/\/abmglobalcompliance.com\/au\/financial-services\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/abmglobalcompliance.com\/au\/"},{"@type":"ListItem","position":2,"name":"Financial Services"}]},{"@type":"WebSite","@id":"https:\/\/abmglobalcompliance.com\/au\/#website","url":"https:\/\/abmglobalcompliance.com\/au\/","name":"ABM Global Compliance Australia","description":"","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/abmglobalcompliance.com\/au\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"}]}},"_links":{"self":[{"href":"https:\/\/abmglobalcompliance.com\/au\/wp-json\/wp\/v2\/pages\/93854","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/abmglobalcompliance.com\/au\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/abmglobalcompliance.com\/au\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/abmglobalcompliance.com\/au\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/abmglobalcompliance.com\/au\/wp-json\/wp\/v2\/comments?post=93854"}],"version-history":[{"count":0,"href":"https:\/\/abmglobalcompliance.com\/au\/wp-json\/wp\/v2\/pages\/93854\/revisions"}],"wp:attachment":[{"href":"https:\/\/abmglobalcompliance.com\/au\/wp-json\/wp\/v2\/media?parent=93854"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}