Our Service Areas
Bardin provides a comprehensive and flexible outsourced compliance solution to help financial services businesses meet and maintain their regulatory obligations. With regulatory expectations rising, licensees and regulators increasingly expect a proactive and sophisticated approach to compliance.
We offer both ad-hoc and ongoing support, giving clients a scalable safety net that responds to legislative change, operational demands and periods of heightened compliance workload.
We deliver compliance and risk services across two core areas:
- Regulatory Compliance & Risk
- AML/CTF
Regulatory Compliance & Risk Support
Our outsourced compliance support services assist AFSL and ACL holders to maintain a strong governance and risk culture, while ensuring accountability remains clearly with the licensee.
Services include:
Compliance obligations management
Oversight, monitoring and interpretation of AFSL and ACL obligations.
Targeted compliance advice
Practical, commercially focused guidance on ASIC expectations, regulatory developments and compliance issues.
Policy development and review
Drafting, reviewing and uplifting compliance policies, procedures and compliance frameworks.
Training
Tailored regulatory training for Responsible Managers, boards and staff.
Governance support & committee involvement
Secretariat support, meeting preparation and participation in governance and risk committees where appropriate.
Compliance reporting
Preparation and review of compliance reports, breach assessments and regulatory notifications.
AML/CTF Services
Bardin provides AML/CTF support services designed to help reporting entities meet their obligations under the AML/CTF Act and AUSTRAC Rules.
Services include:
AML/CTF Program development and review
Creation, enhancement or independent review of AML/CTF Programs.
AML/CTF risk assessments
Support with customer, product and enterprise-level AML/CTF risk assessments.
Risk Services
We support businesses to design, implement and enhance risk management frameworks appropriate to their size, complexity and regulatory profile.
Services include:
Risk management framework design and enhancement
Building or strengthening operational and enterprise risk frameworks.
Risk assessments
Independent review of operational, regulatory, product and enterprise risks.
Bardin’s Role
Bardin acts as a trusted compliance and risk partner, working alongside boards, Responsible Managers and senior management to support effective compliance and risk outcomes.
Our role is to advise, support and provide oversight, not to replace the licensee’s internal governance, decision-making or accountability. We work within clearly defined engagement terms to help clients interpret regulatory expectations, implement practical solutions and maintain robust compliance and risk frameworks.
Consistent with our trustee services, Bardin brings a disciplined, governance-focused and commercially minded approach, ensuring regulatory obligations are met without unnecessary complexity or disruption to business operations.
Important Information
Compliance and risk services are provided subject to agreed engagement terms and do not transfer regulatory responsibility or accountability from the licensee.
Bardin does not provide investment advice and does not make investment decisions on behalf of managers or investors unless expressly required under the governing documents.
The scope of services may vary depending on the structure, regulatory requirements and agreed mandate.