Adviser & Broker File Review
Advice file audits to enhance quality and compliance
We assess adviser and broker client files to ensure the quality of financial advice and alignment with regulatory obligations. This service is designed to monitor adviser behaviour, identify systemic documentation issues, and improve the quality of advice delivered. Our reviews include targeted audits, trend analysis, and tailored feedback to support continual improvement and training.
Benefits of Our File Review Services
Focused Audit Checks
Thorough reviews of client files to ensure documentation meets best practice and compliance standards.
Individual Training and Coaching
Personalised feedback to advisers and brokers to support ongoing development.
Evidence-Based Oversight
Use of audit data to inform compliance strategy and business performance.
Our 5-Step File Review Process
File Sampling
Select a representative range of client files across advisers or brokers.
Assessment
Conduct detailed compliance and quality assurance checks.
Trend Analysis
Identify recurring issues and systemic concerns.
Feedback & Training
Deliver personalised feedback sessions and learning support.
Follow-up Review
Reassess file quality after training to ensure improvement and adherence.
What Our Clients Say
I have known and worked with Cheyenne professionally for over 5 years. I have found her approach, experience and expertise to be of a very high standard. I have and would recommend her services to any licence holder.
Sean Preece
Chief Risk Officer – Yellow Brick Road
Cheyenne was a great help to us at a time where we needed a lot of flexibility in the role. Anything we threw at her was a ‘yes no problem’. Thanks Cheyenne.
Ronna Ludgate
General Manager Risk Solutions at Commonwealth Bank
Cheyenne is a dedicated, hard working compliance professional. She is one of our “go to” people for compliance contracting.
Jenni Erbel
Director, Strategic Outsource Solutions
Cheyenne is a person with a sound knowledge of the law as it pertains to Financial Planning and always made herself available to assist the Practitioners to properly interpret and apply the laws and use them to raise the standards of advice.
Bruce Henderson
Financial Planner
I have known Cheyenne for over 10 years and can highly recommend her work ethic and attention to detail. Many of my industry peers, who have been audited by Cheyenne, speak very highly of the way that she conducts herself in meetings, in sometimes difficult situations.
Kevin Wyld
Shareholder at Financial Simplicity and Director of CCUBE Financial Software Pty Ltd
I worked with Cheyenne during some tough times after the GFC and she was brilliant, thorough but fair.
Scott Heathwood
Director of Lifestyle Asset Management
Strengthen Your Advice Oversight
Book a file review to assess compliance and uplift your team’s advice quality.