← Solutions·Capability · Compliance Monitoring

Risk found before incident, not after.

Most compliance teams discover the breach the same way the regulator does: after the harm. BackPro monitors your operations continuously against your supervision rubric, surfaces patterns across the network, and flags the systemic issue before the second complaint lands.

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Risk is detected in the rear‑view mirror.

Pressure 01
Quarterly file reviews on a 5% sample.
The other 95% goes unreviewed until ASIC pulls a file. The systemic issue surfaces at quarter‑end, by which point three more files have crossed the same line.
Pressure 02
The 30‑day clock starts on awareness.
Reportable situations run from the moment anyone in the network knew. By the time the breach reaches the compliance officer’s desk, half the window is gone.
Pressure 03
Each adviser sees their own files; nobody sees the network.
The systemic risk lives in the patterns across advisers, products, and time. Nobody is looking at it until ASIC publishes the IDR data.

From post‑incident to pre‑incident.

Before

Post‑incident

After

Pre‑incident

patterns surface before the second complaint lands.

Compliance Monitoring, at work.

Live in the demo

Walk compliance monitoring live.

Open the actual product. See the live dashboard surface adviser risk, breach patterns, and supervision findings across the network.

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Fig. The network risk dashboard. Practice‑level rollups, breach detection flags, and the systemic‑issue radar across the adviser network.

Everything that goes into continuous monitoring.

Network Risk Dashboard

Real‑time view across every practice, every adviser, every obligation. The compliance officer sees the worst three practices before ASIC does.

Breach Detection

Pattern detection across the adviser network in real time. Systemic issues flag on the first signal, not the third.

IDR Network Analytics

Aggregate complaints data across the network to surface systemic issues before they appear in ASIC’s public IDR data. Patterns cluster by adviser, product, advice strategy, and time.

Reportable‑Situations Workflow

End‑to‑end ASIC reportable‑situations workflow on the 30‑day clock. Awareness event through investigation, evidence collection, interim assessment, and lodgement.

Mandate Monitor

Real‑time monitoring of every investment mandate the fund operates under. Concentration limits, prohibited assets, lookthrough, ESG screens. Pre‑trade and post‑trade.

Adviser Supervision Dashboard

Practice‑level rollups across the network. File reviews due, fee consents lapsing, training overdue, leading indicators of supervision risk.

Operational Risk Register

CPS 230 critical operations, third‑party arrangements, §36 notifiable events. Updated continuously, ready for the trustee and APRA on demand.

Regulatory Horizon Scanning

New regulatory instruments, ASIC guidance, APRA prudential standards, AASB pronouncements. Surfaced when they’re published, mapped against your current operations.

Smart Alert Tuning

Alerts ranked by risk severity and signal strength. The compliance officer sees the actionable few, not every drift. False‑positive rate tunable per practice.

Who uses Compliance Monitoring, and how.

Persona

Licensees

Primary use case. Network‑level visibility across every adviser practice. Systemic issues spotted before ASIC’s public IDR data flags them. AR lifecycle managed end‑to‑end.

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Persona

Funds Management

CPS 230 operational risk monitoring, mandate compliance, AASB S1/S2 disclosure readiness. The trustee’s dashboard for every regulated obligation.

See the funds management story →

Persona

Financial Advisors

Pre‑incident detection on your own files. RG 271 IDR drafting on the 30‑day clock. APP 11 NDB workflow when a record is lost.

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The standards this capability answers to.

Every output carries an evidence trail mapped to the relevant Australian regulatory standards. Tap any chip to see what each standard requires.

See the persona map

CPS 230 CPS 234 RG 271 APP 11 AASB S1 & S2 AML/CTF

Questions risk and compliance teams ask first.

BackPro reads every artefact in the network continuously (files, fee consents, breach register entries, complaints, training records) and compares against your supervision rubric. Drift surfaces as a flagged item. Pattern detection works across advisers, products, and time to surface systemic issues.

Each alert type has a severity threshold and a signal‑strength threshold, both tunable per practice. The compliance officer sees the actionable few. Suppressed alerts are still logged, so the audit trail captures what the system saw and what the team chose to ignore.

The clock starts on awareness, not confirmation. BackPro logs the awareness event with timestamp, drafts the investigation plan, captures interim evidence, and prepares the ASIC lodgement on day 27 with the full investigation trail. Late‑lodgement risk reduces because the work was already drafted.

Yes. Mandate Monitor parses each IMA, encodes the rules, monitors against your holdings feed. Concentration limits, prohibited assets, lookthrough requirements, ESG screens, all checked pre‑trade and post‑trade. Trustee‑grade evidence trail behind every alert.

BackPro tracks the regulatory feeds (ASIC, APRA, AASB, AUSTRAC, OAIC) and surfaces new instruments and guidance. Each is mapped against your current operations so the compliance officer sees the impact, not just the publication.

Stays in your tenancy. BackPro runs inside your environment, documents never leave your perimeter, and there’s no third‑party data egress. The sovereignty question is answered before the model runs.

See your risk surface, before the regulator does.

Bring last year’s breach register, IDR data, or supervision pack. Thirty minutes. We map the patterns we can find in your existing data and show what continuous monitoring would have caught earlier. You keep the analysis whether you proceed with us or not.

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