Advice Compliance Consulting (ACC) is a boutique consulting business owned and operated by Diana Symons whose primary aim is to provide external support to AFS Licensees to manage their own compliance.
Diana has had over 17 years’ experience in Melbourne’s Financial Services industry, including management and quality advice roles at the Commonwealth Bank. Whilst at the Commonwealth Bank, Diana most recently worked with financial advisers in the Bank’s Wealth Management area for Victoria/Tasmania for six years to improve the efficiency of their advice processes and documentation as well as undertaking quarterly client file reviews to ensure compliance with Government legislation and Licensee obligations.
Diana has successfully attained a Diploma and Advanced Diploma of Financial Services (Financial Planning) and is continually engaging in ongoing personal development and training to keep abreast of legislative changes and reforms and best practice.
Diana is an individual member of the Australasian Compliance Institute as well as an Affiliate Member of FINSIA (Financial Services Institute of Australia)
ACC’s mission is to provide an integrated risk management solution for its clients by:
- Engaging with stakeholders to establish and foster a culture of compliance across any organisation.
- Interpreting regulatory changes and enabling implementation whilst maintaining a commercial focus.
- Maintaining and continuously developing the necessary levels of professional skills and current knowledge to excel in the execution of compliance duties.
How We Plan To Achieve Our Mission
- Making impartial and objective decisions based on careful research and investigation.
- Engaging with all key stakeholders in honest and open dealings.
- Protecting the confidentiality of information made available to us, subject to any legal obligations to disclose.
- Seeking innovative solutions to problems, working with clients to meet or exceed all relevant obligations whether arising from law, standards, codes of practice or from stakeholder expectation.