Financial Services Expertise

A Differentiated Approach to Supporting Financial Advice Organisations

The Guild of Ethics, Culture & Leadership Pty Ltd provides specialist consultancy and executive mentoring solutions for Australian & UK financial planning individuals and organisations with expertise in AFSL and UK regulatory and legislative governance oversight and compliance monitoring frameworks.

Tony Beaven's expertise in the financial planning industry is unique with RG146, and Level 4 diploma qualifications in both Australia and the United Kingdom, Responsible Manager RG105 and award-winning governance/compliance framework expertise resulting in many accolades across the financial services Industry

From being a financial planner at retail, business, corporate, and private bank level to transforming the P&L's, People and Culture of Australian AFSL's and United Kingdom regulated businesses, Tony has incredible insight of the advice process and structures creating a differentiated approach that can quickly highlight issues or efficiencies throughout a financial planning organisation.

From soft skills training and neuroplasticity programming for advisers to cost reduction strategies, growth and innovation projects, corporate governance oversight and Responsible Manager RG105 framework implementation & Monitoring.

We also provide specialised leadership coaching, change management, culture creation, operational governance, project management, turnaround strategies, M&A processes, data analysis, operational risk reporting, Australian and Uk regulatory legislation interpretation, brand marketing, digital innovation, and compliance monitoring.

Below is a snippet of our expertise:

Building a proactive compliance and governance oversight framework for your AFSL

A look into the future of regulation and accountability at Board and Senior Manager Level

How to position Business Risk Insurance

Insights on the Australian and UK financial planning landscape

Insights on the UK and Australian financial advice landscape - ifa

Our specialist financial services expertise in Australia & UK focuses on:

AFSL Responsible Manager/Head of compliance, governance oversight
Regulatory assessments and compliance monitoring
Soft skills training
Brand enhancement & AI Digital Marketing
Advisory Business and AFSL annual licensee and MLRO assessments and reviews
File reviews
ERM frameworks
Fraud and AML/CTF investigations
Look back reviews
Governance and board oversight
Advice process efficiencies and frameworks
Culture frameworks, Ethics & diversity
UK consumer duty interpretation
Governance and compliance regulated licensee oversight and monitoring
Commercial Integration projects
Soft skills training
AI Digital Marketing
SMCR framework creation and monitoring programs

* Please see our award-winning CPD accredited course on Influencing the Culture in organisations