Through Compliance & Risk Services (CRS), B. Moses Group provides practitioner-led risk management, regulatory compliance and governance capabilities to fund managers, trustees, responsible entities, AFSL holders and other financial services businesses.
From Regulation to Operational Control
CRS combines experienced practitioners, strategic advice and purpose-built technology to help organisations understand their obligations, strengthen their frameworks and translate regulatory requirements into effective day-to-day controls.
Making Compliance Work in Practice
Strong governance and compliance require more than policies and documentation. Businesses need clear responsibilities, appropriate controls and visibility over whether those controls are working as intended.
CRS works with boards, executives, responsible managers and compliance teams to connect regulatory obligations with practical governance, risk and operational frameworks.
The objective is to help businesses establish the structure and oversight needed to manage regulatory complexity as they operate and grow.
Financial Services Risk, Compliance & Governance
Specialist Capabilities Across the Regulatory Lifecycle
Regulatory & Compliance Advisory
Supporting financial services businesses across AFSL obligations, licence applications and variations, managed investment schemes, regulatory change, AML/CTF and broader compliance requirements.
Risk & Governance
Developing and reviewing governance structures, risk frameworks, policies and controls to support effective oversight of regulatory and operational risks.
Outsourced Risk & Compliance
Providing an experienced external compliance capability for businesses seeking ongoing specialist support without building the entire function internally.
Independent & Specialist Reviews
Undertaking regulatory health checks, independent compliance reviews and specialist assessments where an experienced and objective perspective is required.
Supporting Financial Services Businesses
Expertise Across Different Operating Models
Regulatory requirements evolve as financial services businesses grow, introduce new products and expand their operations. CRS supports organisations at different stages of that journey.
Fund Managers
Supporting compliance frameworks, managed investment schemes, disclosure, governance and ongoing regulatory obligations.
Trustees & Responsible Entities
Supporting governance, compliance plans, oversight frameworks and responsibilities associated with managed investment structures.
AFSL Holders & Wealth Businesses
Supporting licence obligations, responsible managers, advice and investment operations, policies, controls and regulatory change.
Other Regulated Financial Services Businesses
Supporting risk and compliance requirements across credit, investment, fintech and other regulated financial services activities.
Practitioner-Led Expertise
Experience Applied to Real-World Compliance
CRS has operated across financial services compliance and risk for more than 25 years.
Its practitioners have supported financial services businesses through complex regulatory and governance matters and have undertaken specialist roles connected with ASIC enforceable undertakings, ASX disciplinary matters and legal proceedings.
This experience informs a practical approach: understanding not only what an obligation requires, but how it translates into governance, responsibilities, controls and everyday business processes.
CRS can support existing internal teams, provide specialist advice or operate as an outsourced risk and compliance function, depending on the requirements of the organisation.
Risk & Compliance Technology
CRS Certus
Practitioner expertise is supported by CRS Certus, a purpose-built risk and compliance ecosystem designed to provide greater visibility over how an organisation’s compliance framework operates.
CRS Certus brings obligations, risks, controls and compliance activities together within a central environment, helping businesses move beyond fragmented spreadsheets, documents and manual processes.
Risks & Obligations
Identify regulatory obligations and connect them with the risks and controls designed to manage them.
Controls & Testing
Assign responsibilities, undertake control assessments and maintain evidence of execution.
Registers & Workflows
Manage incidents, complaints, breaches, conflicts and other compliance activities through defined workflows.
Policies & Reporting
Manage policies and procedures, track activity and provide visibility for management, boards and other stakeholders.
Our Role Within B. Moses Group
Specialist Capability. Broader Perspective.
CRS brings specialist risk, compliance and governance expertise to B. Moses Group while continuing to serve clients across the broader Australian financial services industry.
Investment management, financial advice, capital markets and financial innovation all depend on sound governance, effective risk management and appropriate regulatory frameworks. CRS strengthens these foundations within the broader Group while maintaining its specialist focus on supporting external organisations with their own regulatory, governance and risk requirements.
Its place within B. Moses reflects the Group’s broader approach to growth, building and investing in specialist capabilities that strengthen how financial services are structured, managed and delivered.
Structure. Certainty. Confidence.
CRS combines practitioner expertise, strategic advice, outsourced support and compliance technology to help financial services businesses strengthen governance, understand their obligations and maintain greater visibility over risk and compliance.
