Automated Advice Audit Processes

Monitoring & Supervision made easy

Made to be a simple and easy process. No need to spend hours overseeing the compliance process.
We take the pain out of compliance monitoring and enable a dashboard view style.

Incomparable Service

Risk Management

Create & Maintain Key Risk Indicators
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Compliance Calendar

Align calendars with your meeting agendas
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Registers

Eliminate all of your spreadsheet registers
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AFSL Registers

Convert your spreadsheet or paper based registers into fully customisable electronic registers with state of the art reporting and workflow alignment.   

  • Risk register
  • Key risk indicators
  • Collateral register
  • Suspicious matter register
  • Outsourced services register
  • Monitoring & supervision

Dashboards & Reporting

Gain instant insights into the health of your AFSL via unlimited dashboards and reporting options. 

Adviser Registers

Centralise your adviser registers away from spreadsheets in multiple offices into one centralised location. 

  • Complaints register
  • Alternative remuneration register
  • Conflicts of interest register
  • Incidents & Breaches register
  • Audit results

Implement state of the art workflows, perfectly aligned with your AFLS Policies , through our Hivrs workflow integration. 

Monitoring & Supervision

Monitoring and supervising your advisers is crucial for maintaining a compliant AFSL. Maintaining your audit register, historical audit outcomes, trends, action plans and endless reporting options will provide your AFSL with extensive visibility and continual improvement.

Audit Groups

Establish different types of Audit Groups for different purposes such as Adviser Onboarding or Offboarding, Annual Audits, and even AI Audits.  

Audits

Manage, maintain and report on all of your audits in one location including your internally resourced audits, your outsourced audits and your AI audits.  

Integrations

Using the Hivrs workflow integration, you can automate your external audits using systems such as Fourth Line or Tiqk.  

Committees

Maintain all your committee and meeting outcomes in 1 location. Integration with the Compliance Calendar and reporting ensures your meetings are much more efficient to prepare for and manage. 

  • Committees
  • Meetings
  • Agendas
  • Minutes

Integrate your compliance calendar into your meeting agendas to automate your ongoing obligations. 

Risk Assessment

Implement your register of risks and key risk indicators. Alignment with the Zovanti financial planning CRM will provide real-time visibility.  

  • Continuous monitoring
  • Audit file selection
  • ASIC reporting

Policies & Procedures

Implement your electronic Policies across your AFSL to ensure all authorised reps have access to the latest requirements.  

Policies

Align your AFSL with the operating procedures or our preferred compliance consultants such as Mills Oakley or Complius. 

Procedures

Automate your AFSL and align with your Policies with the Hivrs workflow integration. 

Reports & Dashboards

Leveraging the Salesforce reporting engine that provides all users (with a comprehensive set of standard reports and custom report building capability.

Mobile Access

Gain access to all your AFSL data from your mobile phone. View your reports, dashboards, tasks and all data from the palm of your hands. 

Contact us

1300 258 276

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