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Compliance Audits & File Reviews

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Alfred Hill & Partners assists regulated businesses with compliance audits, file reviews and audit response support.

File reviews and compliance audits help identify issues before they become client complaints, regulatory concerns or commercial disputes. They also help businesses demonstrate that supervision, documentation and control systems are working.

We assist with independent reviews of client files, adviser conduct, broker conduct and business compliance systems.

Our Core Areas

Representative Audits

For licensees and businesses needing to review authorised representatives, advisers or broker conduct.

Adviser and Broker File Reviews

For financial services, insurance and credit businesses reviewing client files and advice records.

Disclosure Review

For firms needing to check whether client documents, warnings, disclaimers and disclosures are adequate.

Complaint File Review

For businesses assessing complaint handling, evidence and response quality.

Audit Reports

For firms requiring clear findings, risk ratings, recommendations and remediation steps.

Licensee Audit Response

For authorised representatives or businesses responding to audit findings or licensee concerns.

Regulatory Readiness Reviews

For businesses preparing for regulator, licensee, aggregator or external compliance review.

A compliance review should help the business understand what needs to be fixed and how to evidence improvement.

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