Complye
AI-powered compliance infrastructure

[complye] is the compliance infrastructure for financial services.

Designed for Australian Financial Services Licensees (AFSL) and credit licensees managing governance oversight, monitoring programs and regulatory risk.

See how it works
Multi factor authentication
Local support team
Australian hosted
Solution

The compliance operating system

Effective compliance requires more than policies and procedures. Licensees must operate a continuous system of governance oversight, monitoring programs, incident management and remediation. [complye] supports this system by providing the operational environment used to manage compliance activities and maintain defensible records of oversight.

Governance

Boards and Responsible Managers maintaining structured oversight of compliance obligations and risks.

Monitoring

Structured monitoring programs identifying compliance risks across the organisation.

Incidents

Recording and assessing incidents and potential breaches in accordance with regulatory expectations.

Remediation

Tracking remediation actions and follow-up activities through to resolution.

Oversight

Maintaining clear records demonstrating how compliance risks are identified, monitored and addressed.

Who is it for?

Self-licensed AFSL firms bear full accountability for their compliance framework. complyᵉ provides the operational environment to manage governance oversight, monitoring programs and compliance events - ensuring the organisation can demonstrate effective compliance to ASIC at any time.

Credit licensees face ongoing obligations across lending, compliance monitoring and regulatory change. complyᵉ enables credit licensees to operate structured monitoring programs, manage compliance events and maintain records that demonstrate how obligations are met in practice.

Governance and compliance professionals managing obligations across the organisation need a platform that mirrors how compliance frameworks actually operate. complyᵉ provides the structured operational environment compliance teams use to manage oversight, monitoring and compliance events.

Responsible Managers require clear visibility over compliance risks and evidence that governance structures are operating effectively. complyᵉ supports Responsible Manager oversight with structured records and governance registers demonstrating how compliance obligations are managed.

Compliance consultants managing obligations across multiple licensee clients need a system that scales with their workload. complyᵉ gives consultants a structured platform to manage monitoring programs, reviews and compliance events across clients - with consistent records and clear audit trails for every engagement.

Problem

Spreadsheets and disconnected tools aren't compliance infrastructure.

Most licensees are managing real obligations with systems that were never built for the job.

01

No single source of truth

Obligations, incidents, monitoring and governance records sit in different places. Evidence trails fall apart under scrutiny.

02

Compliance falls behind obligations

Without a structured system, monitoring programs lag, reviews are missed and obligations go untracked until something goes wrong.

03

Visibility gaps at the top

Responsible Managers can't see what they need to see. Governance oversight is difficult to demonstrate to ASIC without structured records.

04

Reviews without structure

Pre-vet and post-vet reviews managed outside a system create inconsistency and gaps. There's no reliable record of what was reviewed, when, or what was found.

05

Remediation falls through the cracks

When issues are identified, tracking resolution across spreadsheets and email is unreliable. Actions go unassigned, deadlines slip and outcomes aren't recorded.

In their words.

  • [complye] has been a game-changer. The quarterly and annual attestation functions are far more robust and interactive than the manual checklists we previously relied on. The ability to attach documents directly to attestations has streamlined our annual audit process considerably. [complye] provides a comprehensive schedule of upcoming deadlines and regulatory obligations, keeping the team ahead of changes. The ability to grant our auditor temporary system access means RMs and directors can verify information directly rather than manually collating everything. Overall, [complye] has transformed our compliance operations, giving us greater visibility, control and efficiency in meeting our obligations.

    Keltie Archer

    Head of Governance, PMCG

  • The [complye] team have worked alongside LMG for years to find holistic, system-based solutions for our end-to-end compliance requirements. They have consistently met our requirements, acted on our feedback and delivered in a timely, supportive and cost-effective manner. A pleasure to work with.

    William Jewitt

    Head of Compliance and Operations, Loan Market

  • [complye] allows a boutique licensee like ours to manage our governance framework effectively and provides the scale that all small businesses need. Most importantly, having clear oversight over our audit program is critical. The Assured Support team are always on hand.

    Jon Christie

    Managing Director, Oreana Financial Services

  • The [complye] team are responsive and a pleasure to work with. They clearly articulate business requirements, communicate developments throughout project builds and ensure post-project matters are resolved quickly. The team consistently go above and beyond to support their clients.

    Louise Huzyliak

    Compliance Director, SFG

Frequently asked questions

Compliance infrastructure refers to the systems and processes used by AFSL and credit licensees to manage governance oversight, monitoring programs, incident management and regulatory change. It replaces fragmented compliance processes - typically spreadsheets and disconnected tools - with a structured system for managing compliance activities within a single operational environment.

[complye] is used by self-licensed AFSL firms, credit licensees, governance and compliance teams, and Responsible Managers managing licence obligations. It is designed specifically for independent licensees who carry full responsibility for managing their compliance obligations.

[complye] enables AFSL licensees to maintain structured governance oversight, operate consistent monitoring programs, record and investigate compliance events and potential breaches, manage remediation actions, track regulatory developments, and maintain clear records demonstrating compliance oversight.

Unlike generic workflow tools, [complye] mirrors the operational compliance frameworks actually used across AFSL and credit licensees. The platform is built around real compliance operations - governance oversight, monitoring programs, incident management and regulatory change - not adapted from project management or CRM software.

Assured Support works closely with the [complye] team as a preferred compliance partner and subject-matter contributor. Assured Support uses [complye] extensively in its consulting work and provides practical insight into how compliance frameworks operate in practice. This collaboration ensures the platform reflects real compliance operations and continues to evolve alongside regulatory expectations.

Yes. [complye] includes full incident and breach management functionality. The platform enables organisations to record incidents and compliance events, assess potential breaches and reportable situations, document investigations and decision-making processes, and track remediation actions and follow-up activities.

Request a demonstration

See how [complye] supports AFSL and credit licensees managing governance oversight, monitoring programs and compliance risk.

or email sales@complye.ai

Multi factor authentication · Local support team · Australian hosted