Regulatory Compliance Advisory
Practical, independent support to help organisations understand their obligations, implement effective compliance arrangements and demonstrate that systems and controls are working in practice.
Argus Assurance brings direct regulator-side insight and evidence-based assurance methods to regulatory change, compliance reviews, control testing, remediation and ongoing advisory support.
What we help with
Support across the compliance lifecycle—from interpreting obligations and implementing change through to testing controls, responding to problems and demonstrating assurance.
Obligation mapping and regulatory change
Translate legislation, standards, licence conditions and regulatory expectations into clear organisational responsibilities and practical implementation requirements.
Compliance gap assessments
Assess whether policies, systems, controls, governance and evidence adequately address applicable obligations and regulatory risks.
Control design and effectiveness testing
Examine whether compliance controls are appropriately designed, consistently implemented and achieving their intended purpose.
Regulatory readiness and examinations
Prepare for audits, licence processes and regulatory reviews through evidence assessment, readiness testing and targeted remediation.
Incidents, breaches and remediation
Support the assessment of compliance failures, underlying causes, corrective actions and whether remediation has addressed the substantive issue.
Ongoing compliance advisory
Provide flexible access to independent advice, review and assurance as obligations, risks and organisational circumstances evolve.
Beyond policies and procedures
Effective compliance depends on whether obligations are translated into clear accountability, embedded in operations, supported by functioning controls and visible through meaningful evidence and reporting.
Obligations and accountability
Are regulatory requirements understood, allocated to appropriate owners and reflected in clear decision-making responsibilities?
Operating effectiveness
Are controls operating consistently in practice, including during periods of change, pressure or heightened risk?
Design and implementation
Do policies, processes, systems and controls adequately address the organisation’s regulatory risks, and have they been properly implemented?
Evidence and oversight
Can executives and boards see whether compliance arrangements are working through reliable information, assurance and outcomes data?
AML/CTF implementation and assurance
Argus Assurance supports organisations to establish practical, risk-based AML/CTF arrangements and independently assess whether those arrangements are appropriately designed, implemented and operating effectively.
AML/CTF risk assessment
Identify and assess money-laundering and terrorism-financing risks arising from customers, services, delivery channels, jurisdictions and business operations.
Governance and accountability
Establish clear roles, senior oversight, escalation pathways and evidence that AML/CTF responsibilities are understood and discharged.
Policies, procedures and controls
Develop proportionate arrangements for customer due diligence, ongoing monitoring, reporting, record-keeping and risk treatment.
Real estate agencies: Argus provides targeted AML/CTF implementation support and Health Checks for agencies adjusting to the obligations that commenced on 1 July 2026. Learn more about AML/CTF support for real estate.
Implementation readiness
Translate regulatory requirements into practical actions, systems, training, documentation and implementation plans.
Independent review and control testing
Assess whether AML/CTF arrangements meet applicable requirements and operate consistently in practice.
Remediation and uplift
Address identified gaps, strengthen ineffective controls and provide assurance over corrective actions.
What clients receive
Deliverables are tailored to the engagement, but always designed to provide clear evidence, practical priorities and an actionable path forward.
Clear findings and conclusions
A concise assessment of what is working, what is not and where material compliance risks or weaknesses remain.
Prioritised improvement actions
Practical recommendations sequenced according to regulatory risk, organisational impact, urgency and implementation effort.
Evidence-based assurance
Findings grounded in documentation, data, interviews, control testing and other relevant evidence—not assumptions or checklist completion.
Executive and board-ready reporting
Clear reporting that supports oversight, decision-making and demonstration of compliance to regulators and other stakeholders.
Need an independent view of your compliance arrangements?
Discuss your organisation’s obligations, regulatory risks and immediate priorities, and the type of support that would be most useful.