Fractional Compliance Officer
We act as your senior compliance partner for licensed & regulated financial services businesses – including AFSL/ACL holders, funds, fintechs, payments & VASP platforms – without the full‑time headcount.
Your Fractional Compliance Officer
Click Legal is a specialist Australian law firm. We take ownership of your licence & conduct obligations so you can focus on running the business. As your fractional Compliance Officer, we step into the named role that keeps your AFSL/ACL framework, registers & reporting aligned – without the cost of a full-time executive hire.
We work with you across the licence lifecycle: designing & refreshing your compliance framework, running the calendar & monitoring, overseeing breaches & complaints, and preparing you for regulatory engagement. You get a senior compliance lead who understands your sector, products & governance settings on a fixed-fee basis.
What We Do As Your Fractional Compliance Officer
As your fractional Compliance Officer, we provide ongoing oversight & execution support tailored to your licences, business model & risk profile. We combine hands-on framework work with day-to-day monitoring, incident oversight & regulator-facing support so your compliance settings stay practical, up-to-date & defensible.
01. Licence & Compliance Framework Design
We build & maintain compliant, usable frameworks around your AFSL/ACL and related obligations, by:
- designing & updating compliance plans, policies, procedures, registers & risk matrices;
- mapping obligations to your actual products, services, channels & outsourcing arrangements;
- aligning the framework with your AML/CTF program & other regulatory regimes where relevant.
02. Compliance Calendar, Monitoring & Testing
We run the engine of your compliance function so tasks are completed & evidenced on time, by:
- setting up & managing a structured compliance calendar for reviews, attestations & checks;
- performing monitoring & sample testing across key obligations, products & business units;
- overseeing follow-up actions so findings, issues & recommendations are tracked through to closure.
03. Breach, Incident & Complaints Oversight
We oversee how breaches, incidents & complaints are identified, assessed & escalated, by:
- maintaining breach & incident registers and assessing significance for reporting;
- coordinating RG 271-style complaints frameworks, SLAs & root cause analysis;
- working with your leadership & legal team on remediation plans when issues arise.
04. Regulatory Reporting & Engagement
We help you stay on top of reporting and front-foot interactions with regulators, by:
- coordinating AFSL/ACL compliance reporting and related lodgements with ASIC & others;
- preparing you for surveillance visits, thematic reviews & follow-up queries;
- structuring correspondence & remediation responses so they are clear, timely & well-documented.
05. Board & Committee Reporting, Training & Culture
We connect the day-to-day compliance work with your governance & culture, by:
- preparing regular compliance reports for boards & committees with clear metrics & insights;
- escalating material issues with context, options & recommended actions;
- designing & delivering targeted staff training so obligations are understood & applied in practice.
Who We Advise
We act for organisations with real licence, conduct & reporting obligations – where the Compliance Officer role is not a box to tick, but a function that keeps AFSL/ACL, ASIC, AUSTRAC & board expectations aligned. If you have an active compliance calendar, regular regulator touchpoints & governance that needs senior oversight, a full-time compliance executive may feel premature – but spreading the role thinly across the team is no longer safe.
Our fractional Compliance Officer service is designed for businesses that want a named, accountable compliance lead on call: someone who understands your licences, products & risk profile, owns the framework & reporting, and works alongside your board, executives & internal teams.
Clients we act for include:
Wholesale fund managers & managed investment schemes
Non-bank lenders & credit providers
Digital currency exchanges & VASP platforms
Payments & remittance businesses
AFSL product issuers & investment platforms
Wealth & financial advice licensees
Regulated fintechs & embedded finance platforms
Carbon, ESG & specialist asset managers
Our Clients Include
Discuss Your Fractional Compliance Officer Needs
Our senior lawyers will contact you to discuss your compliance function & outline clear next steps.
Inclusions
Basic
Standard
Enhanced
Premium
Enterprise
$2,000/mo. +GST
$4,000/mo. +GST
$6,000/mo. +GST
$8,000/mo. +GST
$10,000/mo. +GST
Core legal & compliance documents tailored to your business
Learn More
Ready-to-Use Core Document Templates
Building your initial licensing framework or preparing for a standard audit can be streamlined with professional industry template. We draft your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL)
- General Licensing Framework Documents: These form the overarching architecture of your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL).
- Competence & Governance Proofs: ASIC places immense focus on the individual integrity and competence of those directing the business.
- Client Protection & Retail Disclosure Logs: If you face retail clients, these disclosure forms are highly legally binding and strictly audited.
- Financial Adequacy & Operational Safeguards: Financial services licenses require strict capital adequacy maintenance overseen via ASIC Regulatory Guide 166 (AFSL) and Regulatory Guide 207 (ACL).
Out of scope
AML programs (refer to our AML/CTF Compliance Officer plans), and operational guides (e.g. manuals and flow charts and how to processes).
Hands‑on implementation support (onsite or online)
Learn More
We help you put the documents into practice, showing your team how to use the new registers, setting up your compliance folder structure, or sitting with staff to answer set-up questions.
Included
Up to 2 x 90-minute implementation sessions per month (virtual or onsite).
Frequency
Monthly.
CAPS
Out of scope
Compliance registers and templates
Learn More
We provide the working tools you need to track compliance, like a Compliance Calendar, Conflicts Register, Breach Register, Risk Register, or Compliance Obligations Register.
Included
Up to 3 template registers (Excel or Word based).
Frequency
One-off setup (first month).
CAPS
Out of scope
Compliance reporting support
Learn More
We help you prepare reports for your board, senior management, or lender (e.g., a compliance dashboard or quarterly update).
Included
Review and input on 1 draft report per month.
Frequency
Quarterly.
CAPS
Out of scope
Standard staff training
Learn More
A pre-prepared training session on general compliance topics (e.g., “Privacy 101,” “Introduction to Regulatory Compliance”).
Included
One 60-minute virtual training session for up to 20 staff, per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Annual review of documents and frameworks
Learn More
Once a year, we look at all the documents we’ve given you to make sure they are still up to date with the law and your business operations.
Included
Review of up to 5 core documents (e.g., T&Cs, Privacy Policy, Contracts, Compliance Manual).
Frequency
Annual.
CAPS
Out of scope
Quarterly Compliance Updates
Learn More
A 30-minute catch-up (video call) to discuss any new regulatory obligations that have popped up in the last 3 months that you need to know about.
Included
One 30-minute briefing call per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Monthly Strategy or Consultation Session
Learn More
A dedicated monthly meeting (up to 1 hour) to talk about your business priorities, upcoming projects, and how to manage compliance risk strategically.
Included
One 60-minute strategy call per month.
Frequency
Monthly.
CAPS
Out of scope
Tailored Training for Staff
Learn More
Bespoke training is designed specifically for your business. We look at your actual risks, policies, and procedures and create a session for your staff based on your documents.
Included
Design and delivery of one 90-minute tailored session per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Regulator & Industry Update Briefings
Learn More
We keep an eye on APRA, ASIC, AFCA, ACCC, AUSTRAC, and other regulators for you. When something changes that matters to your industry, we send you a short email briefing.
Included
Proactive email summaries (up to 2 per month) on relevant regulatory changes.
Frequency
As-needed (up to 2 per month).
CAPS
Out of scope
Dedicated Support Line for Ad-Hoc Advice
Learn More
A direct line for quick questions like, “Can we use this clause?” or “Do we need to report this data breach?”
Included
Up to 8 discrete advice “touches” per month (calls or emails).
Frequency
Monthly.
CAPS
Out of scope
Additional Compliance Documentation
Learn More
Beyond the core docs, we draft other things you need, like board resolutions, process flow charts and compliance checklists.
Included
Up to 3 additional standard documents per quarter.
Frequency
Quarterly (up to 12 per year).
CAPS
Out of scope
Ongoing Strategic Compliance Consultation
Learn More
You have a seat at the table. We act as your executive compliance officer, advising on compliance matters.
Included
Two 60-minute strategic sessions per month.
Frequency
Monthly (2 sessions).
CAPS
Out of scope
Remediation Support & Project Work
Learn More
We help you fix past problems or manage special projects, such as cleaning up a contract database, responding to a historical breach, or managing a licensing application.
Included
Up to 4 hours of project/remediation work per month.
Frequency
Monthly.
CAPS
Out of scope
Regulator Engagement Assistance
Learn More
If APRA, ASIC, AUSTRAC, or another regulator contacts you (for an audit, information request, or investigation), we help you prepare responses and attend meetings.
Included
Review of 2 draft responses per year and a 60-minute prep call per event.
Frequency
As-needed (up to 2 events per year).
CAPS
Out of scope
Click Legal Portal
Learn More
Full access to our legal and compliance resources center and library of over 300 templates, checklists and guides.
Compass by Click Legal
Learn More
Monthly regulatory intelligence publication for regulated financial services and innovative growth businesses.
Each edition provides practical insights into key legal and regulatory developments, together with recommended actions and implementation resources to help your business remain compliant and confidently navigate an evolving regulatory landscape.
Minimum term (6 months)
Learn More
All Click Legal fractional officer roles (General Counsel, AML/CTF Compliance Officer, Complaints Officer, Privacy Officer) carry a 6-month minimum term because these are regulated, accountable functions, not short term project work. The term allows proper onboarding into the client’s risk profile, systems and existing regulatory history, ensures continuity through at least one compliance or reporting cycle, and reflects the standard regulators expect for accountable persons named in governance documentation. It also reflects standard market practice for fractional and embedded advisory engagements more broadly.
Terms: All plans can be tailored to your business needs. Services are available via monthly subscription or daily rates. Listed prices are standard estimates for small to medium enterprises. Final pricing may vary based on the size, complexity, and risk profile of your business. We reserve the right to provide a custom quote. A general compliance enquiry is a question answered by email or on a call, without a document being reviewed or research being required. Tailored documents are simple agreements drafted to your business. Complex documents, anything above your monthly numbers, litigation, transactions and licensing are quoted separately as a fixed fee. Your obligations register is maintained from the documents you give us, so anything signed without telling us will not appear. Fractional General Counsel, AML/CTF CO, Complaints and Privacy Officer sit outside these plans and are available as separate from these plans. All fees are quoted in Australian dollars per month and exclude GST.
Our plans are flexible
These plans are a starting point, not a straitjacket. No business uses exactly four reviews and three documents every month, and we do not expect yours to. If a month runs heavier than usual, we tell you before we start the work and either carry it into the following month or quote it as a fixed fee. Nothing is done quietly and charged to you later. If your needs sit somewhere between two plans, we will build the plan around what you actually need rather than pushing you up a tier. At the end of each six-month term we sit down and review how the plan has worked, and adjust it with you, up or down. Most clients move once, and usually upwards, because the work found them rather than the other way around.
Basic
$2,000/mo. +GST
Core legal & compliance documents tailored to your business
All plans
Ready-to-Use Core Document Templates
Building your initial licensing framework or preparing for a standard audit can be streamlined with professional industry template. We draft your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL)
- General Licensing Framework Documents: These form the overarching architecture of your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL).
- Competence & Governance Proofs: ASIC places immense focus on the individual integrity and competence of those directing the business.
- Client Protection & Retail Disclosure Logs: If you face retail clients, these disclosure forms are highly legally binding and strictly audited.
- Financial Adequacy & Operational Safeguards: Financial services licenses require strict capital adequacy maintenance overseen via ASIC Regulatory Guide 166 (AFSL) and Regulatory Guide 207 (ACL).
Out of scope
AML programs (refer to our AML/CTF Compliance Officer plans), and operational guides (e.g. manuals and flow charts and how to processes).
Click Legal Portal
All plans
Full access to our legal and compliance resources center and library of over 300 templates, checklists and guides.
Compass by Click Legal
All plans
Monthly regulatory intelligence publication for regulated financial services and innovative growth businesses.
Each edition provides practical insights into key legal and regulatory developments, together with recommended actions and implementation resources to help your business remain compliant and confidently navigate an evolving regulatory landscape.
Minimum term (6 months)
All plans
All Click Legal fractional officer roles (General Counsel, AML/CTF Compliance Officer, Complaints Officer, Privacy Officer) carry a 6-month minimum term because these are regulated, accountable functions, not short term project work. The term allows proper onboarding into the client’s risk profile, systems and existing regulatory history, ensures continuity through at least one compliance or reporting cycle, and reflects the standard regulators expect for accountable persons named in governance documentation. It also reflects standard market practice for fractional and embedded advisory engagements more broadly.
Hands‑on implementation support (onsite or online)
Included in Standard, Enhanced, Premium, Enterprise
We help you put the documents into practice, showing your team how to use the new registers, setting up your compliance folder structure, or sitting with staff to answer set-up questions.
Included
Up to 2 x 90-minute implementation sessions per month (virtual or onsite).
Frequency
Monthly.
CAPS
Out of scope
Compliance registers and templates
Included in Standard, Enhanced, Premium, Enterprise
We provide the working tools you need to track compliance, like a Compliance Calendar, Conflicts Register, Breach Register, Risk Register, or Compliance Obligations Register.
Included
Up to 3 template registers (Excel or Word based).
Frequency
One-off setup (first month).
CAPS
Out of scope
Compliance reporting support
Included in Standard, Enhanced, Premium, Enterprise
We help you prepare reports for your board, senior management, or lender (e.g., a compliance dashboard or quarterly update).
Included
Review and input on 1 draft report per month.
Frequency
Quarterly.
CAPS
Out of scope
Standard staff training
Included in Standard, Enhanced, Premium, Enterprise
A pre-prepared training session on general compliance topics (e.g., “Privacy 101,” “Introduction to Regulatory Compliance”).
Included
One 60-minute virtual training session for up to 20 staff, per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Annual review of documents and frameworks
Included in Enhanced, Premium, Enterprise
Once a year, we look at all the documents we’ve given you to make sure they are still up to date with the law and your business operations.
Included
Review of up to 5 core documents (e.g., T&Cs, Privacy Policy, Contracts, Compliance Manual).
Frequency
Annual.
CAPS
Out of scope
Quarterly Compliance Updates
Included in Enhanced, Premium, Enterprise
A 30-minute catch-up (video call) to discuss any new regulatory obligations that have popped up in the last 3 months that you need to know about.
Included
One 30-minute briefing call per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Monthly Strategy or Consultation Session
Included in Enhanced, Premium, Enterprise
A dedicated monthly meeting (up to 1 hour) to talk about your business priorities, upcoming projects, and how to manage compliance risk strategically.
Included
One 60-minute strategy call per month.
Frequency
Monthly.
CAPS
Out of scope
Tailored Training for Staff
Included in Premium, Enterprise
Bespoke training is designed specifically for your business. We look at your actual risks, policies, and procedures and create a session for your staff based on your documents.
Included
Design and delivery of one 90-minute tailored session per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Regulator & Industry Update Briefings
Included in Premium, Enterprise
We keep an eye on APRA, ASIC, AFCA, ACCC, AUSTRAC, and other regulators for you. When something changes that matters to your industry, we send you a short email briefing.
Included
Proactive email summaries (up to 2 per month) on relevant regulatory changes.
Frequency
As-needed (up to 2 per month).
CAPS
Out of scope
Dedicated Support Line for Ad-Hoc Advice
Included in Premium, Enterprise
A direct line for quick questions like, “Can we use this clause?” or “Do we need to report this data breach?”
Included
Up to 8 discrete advice “touches” per month (calls or emails).
Frequency
Monthly.
CAPS
Out of scope
Additional Compliance Documentation
Included in Enterprise
Beyond the core docs, we draft other things you need, like board resolutions, process flow charts and compliance checklists.
Included
Up to 3 additional standard documents per quarter.
Frequency
Quarterly (up to 12 per year).
CAPS
Out of scope
Ongoing Strategic Compliance Consultation
Included in Enterprise
You have a seat at the table. We act as your executive compliance officer, advising on compliance matters.
Included
Two 60-minute strategic sessions per month.
Frequency
Monthly (2 sessions).
CAPS
Out of scope
Remediation Support & Project Work
Included in Enterprise
We help you fix past problems or manage special projects, such as cleaning up a contract database, responding to a historical breach, or managing a licensing application.
Included
Up to 4 hours of project/remediation work per month.
Frequency
Monthly.
CAPS
Out of scope
Regulator Engagement Assistance
Included in Enterprise
If APRA, ASIC, AUSTRAC, or another regulator contacts you (for an audit, information request, or investigation), we help you prepare responses and attend meetings.
Included
Review of 2 draft responses per year and a 60-minute prep call per event.
Frequency
As-needed (up to 2 events per year).
CAPS
Out of scope
Standard
$4,000/mo. +GST
Core legal & compliance documents tailored to your business
All plans
Ready-to-Use Core Document Templates
Building your initial licensing framework or preparing for a standard audit can be streamlined with professional industry template. We draft your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL)
- General Licensing Framework Documents: These form the overarching architecture of your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL).
- Competence & Governance Proofs: ASIC places immense focus on the individual integrity and competence of those directing the business.
- Client Protection & Retail Disclosure Logs: If you face retail clients, these disclosure forms are highly legally binding and strictly audited.
- Financial Adequacy & Operational Safeguards: Financial services licenses require strict capital adequacy maintenance overseen via ASIC Regulatory Guide 166 (AFSL) and Regulatory Guide 207 (ACL).
Out of scope
AML programs (refer to our AML/CTF Compliance Officer plans), and operational guides (e.g. manuals and flow charts and how to processes).
Hands‑on implementation support (onsite or online)
Included in Standard, Enhanced, Premium, Enterprise
We help you put the documents into practice, showing your team how to use the new registers, setting up your compliance folder structure, or sitting with staff to answer set-up questions.
Included
Up to 2 x 90-minute implementation sessions per month (virtual or onsite).
Frequency
Monthly.
CAPS
Out of scope
Compliance registers and templates
Included in Standard, Enhanced, Premium, Enterprise
We provide the working tools you need to track compliance, like a Compliance Calendar, Conflicts Register, Breach Register, Risk Register, or Compliance Obligations Register.
Included
Up to 3 template registers (Excel or Word based).
Frequency
One-off setup (first month).
CAPS
Out of scope
Compliance reporting support
Included in Standard, Enhanced, Premium, Enterprise
We help you prepare reports for your board, senior management, or lender (e.g., a compliance dashboard or quarterly update).
Included
Review and input on 1 draft report per month.
Frequency
Quarterly.
CAPS
Out of scope
Standard staff training
Included in Standard, Enhanced, Premium, Enterprise
A pre-prepared training session on general compliance topics (e.g., “Privacy 101,” “Introduction to Regulatory Compliance”).
Included
One 60-minute virtual training session for up to 20 staff, per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Click Legal Portal
All plans
Full access to our legal and compliance resources center and library of over 300 templates, checklists and guides.
Compass by Click Legal
All plans
Monthly regulatory intelligence publication for regulated financial services and innovative growth businesses.
Each edition provides practical insights into key legal and regulatory developments, together with recommended actions and implementation resources to help your business remain compliant and confidently navigate an evolving regulatory landscape.
Minimum term (6 months)
All plans
All Click Legal fractional officer roles (General Counsel, AML/CTF Compliance Officer, Complaints Officer, Privacy Officer) carry a 6-month minimum term because these are regulated, accountable functions, not short term project work. The term allows proper onboarding into the client’s risk profile, systems and existing regulatory history, ensures continuity through at least one compliance or reporting cycle, and reflects the standard regulators expect for accountable persons named in governance documentation. It also reflects standard market practice for fractional and embedded advisory engagements more broadly.
Annual review of documents and frameworks
Included in Enhanced, Premium, Enterprise
Once a year, we look at all the documents we’ve given you to make sure they are still up to date with the law and your business operations.
Included
Review of up to 5 core documents (e.g., T&Cs, Privacy Policy, Contracts, Compliance Manual).
Frequency
Annual.
CAPS
Out of scope
Quarterly Compliance Updates
Included in Enhanced, Premium, Enterprise
A 30-minute catch-up (video call) to discuss any new regulatory obligations that have popped up in the last 3 months that you need to know about.
Included
One 30-minute briefing call per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Monthly Strategy or Consultation Session
Included in Enhanced, Premium, Enterprise
A dedicated monthly meeting (up to 1 hour) to talk about your business priorities, upcoming projects, and how to manage compliance risk strategically.
Included
One 60-minute strategy call per month.
Frequency
Monthly.
CAPS
Out of scope
Tailored Training for Staff
Included in Premium, Enterprise
Bespoke training is designed specifically for your business. We look at your actual risks, policies, and procedures and create a session for your staff based on your documents.
Included
Design and delivery of one 90-minute tailored session per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Regulator & Industry Update Briefings
Included in Premium, Enterprise
We keep an eye on APRA, ASIC, AFCA, ACCC, AUSTRAC, and other regulators for you. When something changes that matters to your industry, we send you a short email briefing.
Included
Proactive email summaries (up to 2 per month) on relevant regulatory changes.
Frequency
As-needed (up to 2 per month).
CAPS
Out of scope
Dedicated Support Line for Ad-Hoc Advice
Included in Premium, Enterprise
A direct line for quick questions like, “Can we use this clause?” or “Do we need to report this data breach?”
Included
Up to 8 discrete advice “touches” per month (calls or emails).
Frequency
Monthly.
CAPS
Out of scope
Additional Compliance Documentation
Included in Enterprise
Beyond the core docs, we draft other things you need, like board resolutions, process flow charts and compliance checklists.
Included
Up to 3 additional standard documents per quarter.
Frequency
Quarterly (up to 12 per year).
CAPS
Out of scope
Ongoing Strategic Compliance Consultation
Included in Enterprise
You have a seat at the table. We act as your executive compliance officer, advising on compliance matters.
Included
Two 60-minute strategic sessions per month.
Frequency
Monthly (2 sessions).
CAPS
Out of scope
Remediation Support & Project Work
Included in Enterprise
We help you fix past problems or manage special projects, such as cleaning up a contract database, responding to a historical breach, or managing a licensing application.
Included
Up to 4 hours of project/remediation work per month.
Frequency
Monthly.
CAPS
Out of scope
Regulator Engagement Assistance
Included in Enterprise
If APRA, ASIC, AUSTRAC, or another regulator contacts you (for an audit, information request, or investigation), we help you prepare responses and attend meetings.
Included
Review of 2 draft responses per year and a 60-minute prep call per event.
Frequency
As-needed (up to 2 events per year).
CAPS
Out of scope
Enhanced
$6,000/mo. +GST
Core legal & compliance documents tailored to your business
All plans
Ready-to-Use Core Document Templates
Building your initial licensing framework or preparing for a standard audit can be streamlined with professional industry template. We draft your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL)
- General Licensing Framework Documents: These form the overarching architecture of your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL).
- Competence & Governance Proofs: ASIC places immense focus on the individual integrity and competence of those directing the business.
- Client Protection & Retail Disclosure Logs: If you face retail clients, these disclosure forms are highly legally binding and strictly audited.
- Financial Adequacy & Operational Safeguards: Financial services licenses require strict capital adequacy maintenance overseen via ASIC Regulatory Guide 166 (AFSL) and Regulatory Guide 207 (ACL).
Out of scope
AML programs (refer to our AML/CTF Compliance Officer plans), and operational guides (e.g. manuals and flow charts and how to processes).
Hands‑on implementation support (onsite or online)
Included in Standard, Enhanced, Premium, Enterprise
We help you put the documents into practice, showing your team how to use the new registers, setting up your compliance folder structure, or sitting with staff to answer set-up questions.
Included
Up to 2 x 90-minute implementation sessions per month (virtual or onsite).
Frequency
Monthly.
CAPS
Out of scope
Compliance registers and templates
Included in Standard, Enhanced, Premium, Enterprise
We provide the working tools you need to track compliance, like a Compliance Calendar, Conflicts Register, Breach Register, Risk Register, or Compliance Obligations Register.
Included
Up to 3 template registers (Excel or Word based).
Frequency
One-off setup (first month).
CAPS
Out of scope
Compliance reporting support
Included in Standard, Enhanced, Premium, Enterprise
We help you prepare reports for your board, senior management, or lender (e.g., a compliance dashboard or quarterly update).
Included
Review and input on 1 draft report per month.
Frequency
Quarterly.
CAPS
Out of scope
Standard staff training
Included in Standard, Enhanced, Premium, Enterprise
A pre-prepared training session on general compliance topics (e.g., “Privacy 101,” “Introduction to Regulatory Compliance”).
Included
One 60-minute virtual training session for up to 20 staff, per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Annual review of documents and frameworks
Included in Enhanced, Premium, Enterprise
Once a year, we look at all the documents we’ve given you to make sure they are still up to date with the law and your business operations.
Included
Review of up to 5 core documents (e.g., T&Cs, Privacy Policy, Contracts, Compliance Manual).
Frequency
Annual.
CAPS
Out of scope
Quarterly Compliance Updates
Included in Enhanced, Premium, Enterprise
A 30-minute catch-up (video call) to discuss any new regulatory obligations that have popped up in the last 3 months that you need to know about.
Included
One 30-minute briefing call per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Monthly Strategy or Consultation Session
Included in Enhanced, Premium, Enterprise
A dedicated monthly meeting (up to 1 hour) to talk about your business priorities, upcoming projects, and how to manage compliance risk strategically.
Included
One 60-minute strategy call per month.
Frequency
Monthly.
CAPS
Out of scope
Compass by Click Legal
All plans
Monthly regulatory intelligence publication for regulated financial services and innovative growth businesses.
Each edition provides practical insights into key legal and regulatory developments, together with recommended actions and implementation resources to help your business remain compliant and confidently navigate an evolving regulatory landscape.
Click Legal Portal
All plans
Full access to our legal and compliance resources center and library of over 300 templates, checklists and guides.
Minimum term (6 months)
All plans
All Click Legal fractional officer roles (General Counsel, AML/CTF Compliance Officer, Complaints Officer, Privacy Officer) carry a 6-month minimum term because these are regulated, accountable functions, not short term project work. The term allows proper onboarding into the client’s risk profile, systems and existing regulatory history, ensures continuity through at least one compliance or reporting cycle, and reflects the standard regulators expect for accountable persons named in governance documentation. It also reflects standard market practice for fractional and embedded advisory engagements more broadly.
Tailored Training for Staff
Included in Premium, Enterprise
Bespoke training is designed specifically for your business. We look at your actual risks, policies, and procedures and create a session for your staff based on your documents.
Included
Design and delivery of one 90-minute tailored session per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Regulator & Industry Update Briefings
Included in Premium, Enterprise
We keep an eye on APRA, ASIC, AFCA, ACCC, AUSTRAC, and other regulators for you. When something changes that matters to your industry, we send you a short email briefing.
Included
Proactive email summaries (up to 2 per month) on relevant regulatory changes.
Frequency
As-needed (up to 2 per month).
CAPS
Out of scope
Dedicated Support Line for Ad-Hoc Advice
Included in Premium, Enterprise
A direct line for quick questions like, “Can we use this clause?” or “Do we need to report this data breach?”
Included
Up to 8 discrete advice “touches” per month (calls or emails).
Frequency
Monthly.
CAPS
Out of scope
Additional Compliance Documentation
Included in Enterprise
Beyond the core docs, we draft other things you need, like board resolutions, process flow charts and compliance checklists.
Included
Up to 3 additional standard documents per quarter.
Frequency
Quarterly (up to 12 per year).
CAPS
Out of scope
Ongoing Strategic Compliance Consultation
Included in Enterprise
You have a seat at the table. We act as your executive compliance officer, advising on compliance matters.
Included
Two 60-minute strategic sessions per month.
Frequency
Monthly (2 sessions).
CAPS
Out of scope
Remediation Support & Project Work
Included in Enterprise
We help you fix past problems or manage special projects, such as cleaning up a contract database, responding to a historical breach, or managing a licensing application.
Included
Up to 4 hours of project/remediation work per month.
Frequency
Monthly.
CAPS
Out of scope
Regulator Engagement Assistance
Included in Enterprise
If APRA, ASIC, AUSTRAC, or another regulator contacts you (for an audit, information request, or investigation), we help you prepare responses and attend meetings.
Included
Review of 2 draft responses per year and a 60-minute prep call per event.
Frequency
As-needed (up to 2 events per year).
CAPS
Out of scope
Premium
$8,000/mo. +GST
Core legal & compliance documents tailored to your business
All plans
Ready-to-Use Core Document Templates
Building your initial licensing framework or preparing for a standard audit can be streamlined with professional industry template. We draft your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL)
- General Licensing Framework Documents: These form the overarching architecture of your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL).
- Competence & Governance Proofs: ASIC places immense focus on the individual integrity and competence of those directing the business.
- Client Protection & Retail Disclosure Logs: If you face retail clients, these disclosure forms are highly legally binding and strictly audited.
- Financial Adequacy & Operational Safeguards: Financial services licenses require strict capital adequacy maintenance overseen via ASIC Regulatory Guide 166 (AFSL) and Regulatory Guide 207 (ACL).
Out of scope
AML programs (refer to our AML/CTF Compliance Officer plans), and operational guides (e.g. manuals and flow charts and how to processes).
Hands‑on implementation support (onsite or online)
Included in Standard, Enhanced, Premium, Enterprise
We help you put the documents into practice, showing your team how to use the new registers, setting up your compliance folder structure, or sitting with staff to answer set-up questions.
Included
Up to 2 x 90-minute implementation sessions per month (virtual or onsite).
Frequency
Monthly.
CAPS
Out of scope
Compliance registers and templates
Included in Standard, Enhanced, Premium, Enterprise
We provide the working tools you need to track compliance, like a Compliance Calendar, Conflicts Register, Breach Register, Risk Register, or Compliance Obligations Register.
Included
Up to 3 template registers (Excel or Word based).
Frequency
One-off setup (first month).
CAPS
Out of scope
Compliance reporting support
Included in Standard, Enhanced, Premium, Enterprise
We help you prepare reports for your board, senior management, or lender (e.g., a compliance dashboard or quarterly update).
Included
Review and input on 1 draft report per month.
Frequency
Quarterly.
CAPS
Out of scope
Standard staff training
Included in Standard, Enhanced, Premium, Enterprise
A pre-prepared training session on general compliance topics (e.g., “Privacy 101,” “Introduction to Regulatory Compliance”).
Included
One 60-minute virtual training session for up to 20 staff, per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Annual review of documents and frameworks
Included in Enhanced, Premium, Enterprise
Once a year, we look at all the documents we’ve given you to make sure they are still up to date with the law and your business operations.
Included
Review of up to 5 core documents (e.g., T&Cs, Privacy Policy, Contracts, Compliance Manual).
Frequency
Annual.
CAPS
Out of scope
Quarterly Compliance Updates
Included in Enhanced, Premium, Enterprise
A 30-minute catch-up (video call) to discuss any new regulatory obligations that have popped up in the last 3 months that you need to know about.
Included
One 30-minute briefing call per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Monthly Strategy or Consultation Session
Included in Enhanced, Premium, Enterprise
A dedicated monthly meeting (up to 1 hour) to talk about your business priorities, upcoming projects, and how to manage compliance risk strategically.
Included
One 60-minute strategy call per month.
Frequency
Monthly.
CAPS
Out of scope
Tailored Training for Staff
Included in Premium, Enterprise
Bespoke training is designed specifically for your business. We look at your actual risks, policies, and procedures and create a session for your staff based on your documents.
Included
Design and delivery of one 90-minute tailored session per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Regulator & Industry Update Briefings
Included in Premium, Enterprise
We keep an eye on APRA, ASIC, AFCA, ACCC, AUSTRAC, and other regulators for you. When something changes that matters to your industry, we send you a short email briefing.
Included
Proactive email summaries (up to 2 per month) on relevant regulatory changes.
Frequency
As-needed (up to 2 per month).
CAPS
Out of scope
Dedicated Support Line for Ad-Hoc Advice
Included in Premium, Enterprise
A direct line for quick questions like, “Can we use this clause?” or “Do we need to report this data breach?”
Included
Up to 8 discrete advice “touches” per month (calls or emails).
Frequency
Monthly.
CAPS
Out of scope
Click Legal Portal
All plans
Full access to our legal and compliance resources center and library of over 300 templates, checklists and guides.
Compass by Click Legal
All plans
Monthly regulatory intelligence publication for regulated financial services and innovative growth businesses.
Each edition provides practical insights into key legal and regulatory developments, together with recommended actions and implementation resources to help your business remain compliant and confidently navigate an evolving regulatory landscape.
Minimum term (6 months)
All plans
All Click Legal fractional officer roles (General Counsel, AML/CTF Compliance Officer, Complaints Officer, Privacy Officer) carry a 6-month minimum term because these are regulated, accountable functions, not short term project work. The term allows proper onboarding into the client’s risk profile, systems and existing regulatory history, ensures continuity through at least one compliance or reporting cycle, and reflects the standard regulators expect for accountable persons named in governance documentation. It also reflects standard market practice for fractional and embedded advisory engagements more broadly.
Additional Compliance Documentation
Included in Enterprise
Beyond the core docs, we draft other things you need, like board resolutions, process flow charts and compliance checklists.
Included
Up to 3 additional standard documents per quarter.
Frequency
Quarterly (up to 12 per year).
CAPS
Out of scope
Ongoing Strategic Compliance Consultation
Included in Enterprise
You have a seat at the table. We act as your executive compliance officer, advising on compliance matters.
Included
Two 60-minute strategic sessions per month.
Frequency
Monthly (2 sessions).
CAPS
Out of scope
Remediation Support & Project Work
Included in Enterprise
We help you fix past problems or manage special projects, such as cleaning up a contract database, responding to a historical breach, or managing a licensing application.
Included
Up to 4 hours of project/remediation work per month.
Frequency
Monthly.
CAPS
Out of scope
Regulator Engagement Assistance
Included in Enterprise
If APRA, ASIC, AUSTRAC, or another regulator contacts you (for an audit, information request, or investigation), we help you prepare responses and attend meetings.
Included
Review of 2 draft responses per year and a 60-minute prep call per event.
Frequency
As-needed (up to 2 events per year).
CAPS
Out of scope
Enterprise
$10,000/mo. +GST
Core legal & compliance documents tailored to your business
All plans
Ready-to-Use Core Document Templates
Building your initial licensing framework or preparing for a standard audit can be streamlined with professional industry template. We draft your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL)
- General Licensing Framework Documents: These form the overarching architecture of your licensing framework as mandated by ASIC Regulatory Guide 104 (AFSL) and Regulatory Guide 205 (ACL).
- Competence & Governance Proofs: ASIC places immense focus on the individual integrity and competence of those directing the business.
- Client Protection & Retail Disclosure Logs: If you face retail clients, these disclosure forms are highly legally binding and strictly audited.
- Financial Adequacy & Operational Safeguards: Financial services licenses require strict capital adequacy maintenance overseen via ASIC Regulatory Guide 166 (AFSL) and Regulatory Guide 207 (ACL).
Out of scope
AML programs (refer to our AML/CTF Compliance Officer plans), and operational guides (e.g. manuals and flow charts and how to processes).
Hands‑on implementation support (onsite or online)
Included in Standard, Enhanced, Premium, Enterprise
We help you put the documents into practice, showing your team how to use the new registers, setting up your compliance folder structure, or sitting with staff to answer set-up questions.
Included
Up to 2 x 90-minute implementation sessions per month (virtual or onsite).
Frequency
Monthly.
CAPS
Out of scope
Compliance registers and templates
Included in Standard, Enhanced, Premium, Enterprise
We provide the working tools you need to track compliance, like a Compliance Calendar, Conflicts Register, Breach Register, Risk Register, or Compliance Obligations Register.
Included
Up to 3 template registers (Excel or Word based).
Frequency
One-off setup (first month).
CAPS
Out of scope
Compliance reporting support
Included in Standard, Enhanced, Premium, Enterprise
We help you prepare reports for your board, senior management, or lender (e.g., a compliance dashboard or quarterly update).
Included
Review and input on 1 draft report per month.
Frequency
Quarterly.
CAPS
Out of scope
Standard staff training
Included in Standard, Enhanced, Premium, Enterprise
A pre-prepared training session on general compliance topics (e.g., “Privacy 101,” “Introduction to Regulatory Compliance”).
Included
One 60-minute virtual training session for up to 20 staff, per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Annual review of documents and frameworks
Included in Enhanced, Premium, Enterprise
Once a year, we look at all the documents we’ve given you to make sure they are still up to date with the law and your business operations.
Included
Review of up to 5 core documents (e.g., T&Cs, Privacy Policy, Contracts, Compliance Manual).
Frequency
Annual.
CAPS
Out of scope
Quarterly Compliance Updates
Included in Enhanced, Premium, Enterprise
A 30-minute catch-up (video call) to discuss any new regulatory obligations that have popped up in the last 3 months that you need to know about.
Included
One 30-minute briefing call per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Monthly Strategy or Consultation Session
Included in Enhanced, Premium, Enterprise
A dedicated monthly meeting (up to 1 hour) to talk about your business priorities, upcoming projects, and how to manage compliance risk strategically.
Included
One 60-minute strategy call per month.
Frequency
Monthly.
CAPS
Out of scope
Tailored Training for Staff
Included in Premium, Enterprise
Bespoke training is designed specifically for your business. We look at your actual risks, policies, and procedures and create a session for your staff based on your documents.
Included
Design and delivery of one 90-minute tailored session per quarter.
Frequency
Quarterly.
CAPS
Out of scope
Regulator & Industry Update Briefings
Included in Premium, Enterprise
We keep an eye on APRA, ASIC, AFCA, ACCC, AUSTRAC, and other regulators for you. When something changes that matters to your industry, we send you a short email briefing.
Included
Proactive email summaries (up to 2 per month) on relevant regulatory changes.
Frequency
As-needed (up to 2 per month).
CAPS
Out of scope
Dedicated Support Line for Ad-Hoc Advice
Included in Premium, Enterprise
A direct line for quick questions like, “Can we use this clause?” or “Do we need to report this data breach?”
Included
Up to 8 discrete advice “touches” per month (calls or emails).
Frequency
Monthly.
CAPS
Out of scope
Additional Compliance Documentation
Included in Enterprise
Beyond the core docs, we draft other things you need, like board resolutions, process flow charts and compliance checklists.
Included
Up to 3 additional standard documents per quarter.
Frequency
Quarterly (up to 12 per year).
CAPS
Out of scope
Ongoing Strategic Compliance Consultation
Included in Enterprise
You have a seat at the table. We act as your executive compliance officer, advising on compliance matters.
Included
Two 60-minute strategic sessions per month.
Frequency
Monthly (2 sessions).
CAPS
Out of scope
Remediation Support & Project Work
Included in Enterprise
We help you fix past problems or manage special projects, such as cleaning up a contract database, responding to a historical breach, or managing a licensing application.
Included
Up to 4 hours of project/remediation work per month.
Frequency
Monthly.
CAPS
Out of scope
Regulator Engagement Assistance
Included in Enterprise
If APRA, ASIC, AUSTRAC, or another regulator contacts you (for an audit, information request, or investigation), we help you prepare responses and attend meetings.
Included
Review of 2 draft responses per year and a 60-minute prep call per event.
Frequency
As-needed (up to 2 events per year).
CAPS
Out of scope
Click Legal Portal
All plans
Full access to our legal and compliance resources center and library of over 300 templates, checklists and guides.
Compass by Click Legal
All plans
Monthly regulatory intelligence publication for regulated financial services and innovative growth businesses.
Each edition provides practical insights into key legal and regulatory developments, together with recommended actions and implementation resources to help your business remain compliant and confidently navigate an evolving regulatory landscape.
Minimum term (6 months)
All plans
All Click Legal fractional officer roles (General Counsel, AML/CTF Compliance Officer, Complaints Officer, Privacy Officer) carry a 6-month minimum term because these are regulated, accountable functions, not short term project work. The term allows proper onboarding into the client’s risk profile, systems and existing regulatory history, ensures continuity through at least one compliance or reporting cycle, and reflects the standard regulators expect for accountable persons named in governance documentation. It also reflects standard market practice for fractional and embedded advisory engagements more broadly.
Terms: All plans can be tailored to your business needs. Services are available via monthly subscription or daily rates. Listed prices are standard estimates for small to medium enterprises. Final pricing may vary based on the size, complexity, and risk profile of your business. We reserve the right to provide a custom quote. A general compliance enquiry is a question answered by email or on a call, without a document being reviewed or research being required. Tailored documents are simple agreements drafted to your business. Complex documents, anything above your monthly numbers, litigation, transactions and licensing are quoted separately as a fixed fee. Your obligations register is maintained from the documents you give us, so anything signed without telling us will not appear. Fractional General Counsel, AML/CTF CO, Complaints and Privacy Officer sit outside these plans and are available as separate from these plans. All fees are quoted in Australian dollars per month and exclude GST.
Our plans are flexible
These plans are a starting point, not a straitjacket. No business uses exactly four reviews and three documents every month, and we do not expect yours to. If a month runs heavier than usual, we tell you before we start the work and either carry it into the following month or quote it as a fixed fee. Nothing is done quietly and charged to you later. If your needs sit somewhere between two plans, we will build the plan around what you actually need rather than pushing you up a tier. At the end of each six-month term we sit down and review how the plan has worked, and adjust it with you, up or down. Most clients move once, and usually upwards, because the work found them rather than the other way around.
Featured By Digital Reference (2025)
“Best Fractional General Counsel Services In Australia”
Featuring Click Legal founder, Hannah Deuk, as a “Founder To Watch In 2025”.
What Our Clients Say About Working With Us
GUY RAVEN
Head of Surveillance Advisory, Westpac
“Hannah demonstrated exceptional leadership and regulatory expertise. She played a pivotal role in developing the control room and establishing a strong regulatory compliance framework…Beyond her deep technical knowledge, Hannah is an outstanding mentor, approachable, and insightful.”
JASON WATTS
Managing Director, Neu Capital
“Hannah blends rare regulatory expertise with sharp business acumen. As her Manager at Barclays, I watched her master APRA/ASIC frameworks and turn them into clear, actionable strategies… She’s the kind of professional who simplifies complexity, and her integrity is unmatched.”
STUART HILL
Program Manager/Operations Manager
“Hannah has exceptional depth of knowledge and expertise in building robust legal, risk, and compliance frameworks….. Beyond her technical expertise, Hannah is a strategic thinker and a genuinely kind, friendly person who always supports and helps others.”
JASON LOWRY
Co-Founder, LPG
“Could not recommend Click Legal more highly! Must have for start ups and small business owners looking to trust someone to help set up your business right!”
JASON GOLD
Managing Director, IT Pro Tech
“At IT Pro Tech, we partner with businesses who share our commitment to integrity. Click Legal stands out in the legal space for exactly that. Hannah and the team impressed us with their deep understanding of compliance-heavy sectors and their ability to offer clear, practical legal advice without overcomplicating the process.”
ANTONELLA SPATOLA
Founder, True To You Charity
“Hannah at Click Legal has supported the board in establishing our documentation and legal framework to start on a solid footing. We appreciate her authentic interest in the charity’s mission… We appreciate how she explains complex concepts in simple terms, avoiding legal jargon.”
SHARON YANG
Head of Investment & Capital Mgmt
“Hannah and Click Legal have provided reliable legal advice to us. It has been integral in helping us meet all our AFSL obligations with confidence. I highly recommend their services to any business needing compliance support.”
Freshta Mayar
Google Verified Review
“A fantastic team, very easy to work with and provide great service and advice. Hannah and her team are absolute superstars – commercial, knowledgeable and efficient.”
Shu Jen & James Benson
Asset Management
“Handled the legal admin we avoided—contracts, policies, the lot—so we could focus on growing the business.”
David Parker
Founder of Innovate Solutions Pty Ltd
“After experiencing poor advice from other lawyers, I was fortunate to connect with Hannah. She stands out with her expertise, intelligence, and entrepreneurial mindset. Hannah’s ability to navigate complex legal matters and provide actionable guidance for startups and scaling businesses is unmatched. Highly recommend her services.”
Emma Reid
Freelancer Graphic Designer
Eran Ben-Shahar
CTO, Product, Strategy, Technology | SSPG Founder
Hillier Deniz
CEO, Paragon Funds Management
Erin Sutton
Business Unit Leader
Andrew Lane
Founder Shoplab
“Startups, meet your legal dream team Click Legal. They speak your language, understand scaling businesses, and deliver founder-friendly advice that fits your growth.”
Sunita
Verified Review
COO
International Digital Asset Exchange
“Thank you for your incredible patience and dedication throughout this entire process. The level of care & attention to every detail has been truly outstanding, and Click Legal has been deeply responsive – even late at night & over weekends.”
Discuss Your Fractional Compliance Officer Needs
Our senior lawyers will contact you to discuss your compliance function & outline clear next steps.
How The Process Works
Step 1
Scoping & Compliance Gap Review
We review your licences, products, current framework & registers to understand how your AFSL/ACL obligations are managed today – and where the Compliance Officer function is stretched or missing.
Step 2
Designing Your Compliance Plan & Calendar
We tailor a practical compliance plan & calendar covering your key obligations, reviews, attestations & reports, and agree who does what so responsibilities are clear across the business.
Step 3
Onboarding As Your Named Compliance Officer
We become your named Compliance Officer, access your systems, stand up or refresh registers, and agree reporting formats for management, boards & committees.
Step 4
Running Your Compliance Calendar & Reporting
We run your compliance calendar, oversee monitoring, breaches & complaints, and prepare regular reports so issues are tracked, escalated and evidenced in a regulator-ready way.
Step 5
Review & Adjust As You Grow
We revisit scope regularly as you launch new products, enter new sectors or rules change, so your compliance framework & calendar stay aligned with how the business actually operates.
Why Choose Click Legal As Your Fractional Compliance Officer
Named Compliance Officer With Real FS Experience
We bring 20+ years’ experience inside banks, AFSL holders & regulated firms, so your Compliance Officer understands both the law & how regulators expect frameworks to work in practice.
Regulator-Ready Frameworks & Evidence
We design policies, registers, calendars & reports so you can clearly show ASIC, AUSTRAC or APRA how obligations are met, issues are managed and remediation is tracked.
Senior Compliance Leadership Without Overhead
You access senior Compliance Officer capability on a fixed-fee subscription, avoiding the headcount, recruitment cost & ongoing overhead of a full-time executive hire.
Embedded With Your Governance & Teams
We work directly with your executives, boards & committees and support frontline teams, so compliance is embedded into day-to-day decisions – not parked in a distant policy binder.
Meet Your Legal Team
Discuss Your Fractional Compliance Officer Needs
Our senior lawyers will contact you to discuss your compliance function & outline clear next steps.
How A Fractional Compliance Officer Fits Into Your Business
Fractional vs In-House Compliance Officer
A full-time Compliance Officer adds permanent headcount, employment cost & management overhead. A fractional model gives you senior FS compliance leadership on a fixed-fee basis, flexed to your current scale & licence footprint.
When To Appoint A Compliance Officer
You may not need a full-time compliance team, but once you hold an AFSL/ACL, expand products, field regulator questions or your “compliance” hat is spread across several people, you need a clear, accountable Compliance Officer in place.
Framework And Evidence
Regulators look beyond policies – they want proof that obligations are monitored, breaches & complaints are escalated, and remediation is tracked. We own both the framework and the evidence trail so you can clearly show how compliance is managed.
Compliance As An Enabler
Handled well, compliance does not just block ideas – it helps design products, processes & controls that pass regulatory scrutiny the first time. A fractional Compliance Officer lets you build that discipline early without slowing growth.
Compliance & Regulatory Insights
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Ready-to-Use Legal & Compliance Templates
Lawyer‑drafted legal templates in downloadable Word format.
Frequently Asked Questions About Fractional Compliance Officers
What is a Fractional Compliance Officer?
A Fractional Compliance Officer is a senior compliance lead who takes formal responsibility for your AFSL/ACL & conduct obligations on a part-time, subscription basis instead of as a full-time employee.
How is this different from hiring inhouse?
You access deep FS compliance expertise and a working framework without adding a permanent executive salary, bonus and HR overhead. Scope is clearly defined and reviewed as your products, licences and risk profile evolve.
Can you be recorded as our named Compliance Officer?
Yes – subject to scope and engagement terms, we can be recorded as your Compliance Officer, work directly with your executives and board, and manage the framework and reporting, while you retain overall responsibility as licensee.
How does the subscription model work?
We agree a fixed monthly fee based on a defined scope of compliance work – framework, calendar, monitoring, breach & complaints oversight and reporting – so you have budget certainty and clear expectations on deliverables.
Do you only work with AFSL and ACL holders?
Our primary focus is AFSL/ACL holders and related FS licences, but we can also support other regulated businesses with similar compliance burdens where the Compliance Officer function is critical. We scope that case by case.
Do you work onsite or remotely?
We usually work remotely using your systems, joining your meetings and workflows as if we were inhouse, and attend key board, committee or project meetings onsite or via video when that adds value.
What happens if we have a major incident or regulator enquiry?
We help triage the issue, assess significance, update registers, and structure your response and remediation plan. Where needed, we work alongside your legal team and executives to engage with ASIC, AUSTRAC or APRA in a coordinated way.
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