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Compliance Readiness

The infrastructure
to meet your
obligations.

For financial advice firms and accounting practices in Otago, Canterbury, and Southland navigating FMA, FAP, and FMC Act requirements.

The
problem.

Most firms know their obligations. What is harder to evidence is that those obligations are being met consistently, across all clients and all periods.

01

Monitoring is informal and depends on one person staying on top of it

02

Advice documentation is inconsistent across advisers and periods

03

Compliance reporting consumes significant partner time every quarter

04

Your policies exist but your processes don't reliably follow them

05

A new adviser or a growth period would expose gaps in your current approach

06

The compliance programme on paper and the way the business actually operates are not fully aligned

What I
build.

Operational infrastructure that runs without consuming partner time.

Obligations register

A documented map of your regulatory requirements, tied to your specific business activities. Every FMA, FAP, and FMC Act obligation assigned to an owner, a process, and an evidence trail.

Audit-ready processes

Documented workflows that generate compliance evidence as a byproduct of how work already gets done. Not extra steps for advisers. Not manual reporting by partners.

Monitoring framework

A systematic review and monitoring programme that identifies issues before they become breaches. Scheduled, documented, and owned by the right people in your firm.

Compliance operating model

An integrated model your firm can actually run. Roles, responsibilities, cadences, and escalation paths. Not a document that gets filed. An operating system for your compliance obligations.

Important

This is not legal advice. Grandview Synergy builds operational architecture: the systems and processes your firm uses to manage its obligations. You still need your compliance lawyer or specialist compliance adviser for regulatory interpretation. These are complementary, not competing, services.

Rick Tombling

Rick Tombling

Why this background matters

I spent 16 years at ANZ Bank, finishing as Business Architecture Lead on a nine-figure core banking transformation. That work included hands-on regulatory compliance programmes for RBNZ and APRA obligations: building the operational infrastructure a major bank uses to meet its regulatory requirements at scale.

The institutional version is not your version. But the principles are identical. I know what a functioning compliance system looks like from the inside, and I know how to translate that into a practical operating model for a firm of fifteen to one hundred people.

I hold the Institute of Directors Chartered Member credential and have assessed more than 50 New Zealand businesses commercially and operationally. I work directly with principals. No juniors, no overhead.

Book a free discovery call

Fixed.
Scoped.
Clear.

Every engagement is fixed fee with a defined deliverable. You know what you are committing to before work starts. No hourly billing. No open-ended retainers.

Stage 01

Diagnose

I map your regulatory obligations against your current operational practice. You receive a documented obligations register, a gap analysis, and a prioritised remediation plan with cost estimates.

Fixed fee

$5,500 + GST

14-day guarantee: if you don't have a clear picture of your compliance gaps and a practical path to closing them, you pay nothing.

Stage 02

Blueprint

Design the compliance operating model: obligations register, process documentation, monitoring framework, and evidence architecture. A clear, costed plan before a single thing is built.

Investment

Scoped after Diagnose

Stage 03

Implement

Build the infrastructure. Train the team. Bed in the new processes. Hand over complete documentation. Your firm is running the compliance operating model before the engagement closes.

Investment

Scoped after Blueprint

Common
questions.

What is compliance infrastructure for a financial advice firm?

Compliance infrastructure is the operational architecture your firm uses to meet its regulatory obligations day to day: how obligations are documented, how advice processes generate audit-ready evidence, how monitoring is done systematically rather than manually. It is distinct from legal compliance advice. A compliance lawyer tells you what you must do. Compliance infrastructure is how your firm actually does it, consistently.

What FMA obligations does this work address?

The work focuses on the operational requirements of FMA licensing, Financial Advice Provider obligations under the Financial Markets Conduct Act 2013, and the conduct and client care obligations that apply to licensed financial advice services in New Zealand. This includes the documented policies and processes FMA expects, the monitoring and review obligations, and the record-keeping requirements that support compliance with the Code of Professional Conduct for Financial Advice Services.

Does this replace a compliance consultant or compliance lawyer?

No. Grandview Synergy builds operational infrastructure. Legal interpretation of regulatory requirements is the work of a compliance lawyer or specialist. Most firms need both: specialist advice on what the obligations require, and an operational architect to build the systems that meet them. These are complementary services.

How long does a compliance diagnostic take?

Typically two to three weeks. It produces a documented obligations register, a gap analysis against your current practice, and a prioritised remediation plan with cost estimates. Fixed fee at $5,500 + GST with a 14-day guarantee: if you do not have a clear picture of your compliance gaps and a practical path to closing them, you pay nothing.