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Specialist Audits for AFSL Licensees

Supporting financial planners and insurance brokers with ASIC-compliant audit services.

Audit Services That Strengthen Trust and Compliance

If you hold an Australian Financial Services Licence (AFSL), you’re required to meet strict compliance and reporting standards.

At KJ Audit & Accounting, we provide independent audits for AFSL licensees, including financial planners and insurance brokers. Our team ensures your obligations are met, and that you remain fully compliant with ASIC requirements.

Why AFSL Audits Matter

Meet ASIC regulatory obligations

Provide assurance to clients and stakeholders

Identify risks in financial systems and processes

Maintain your AFSL licence with confidence

Our Services for AFSL Licensees

If you hold an Australian Financial Services Licence (AFSL), annual audits are a regulatory requirement. We provide independent, ASIC-compliant audits for financial planners and insurance brokers — helping you stay compliant, protect your licence, and build confidence with clients and stakeholders.

Financial Planners

We help you Financial planners meet their license compliance requirements with ASIC.

Insurance Brokers

We help Insurance brokers meet their license compliance requirements with ASIC.

Our Approach

We take a thorough but efficient approach to AFSL audits, designed to minimise disruption while still delivering reliable results.

Initial Consultation

We learn about your business and AFSL obligations

Detailed Audit Review

Examine financial records, trust accounts, and compliance processes.

Report Preparation

Provide clear, ASIC-compliant reports for stakeholders.

Ongoing Support

Guidance to strengthen compliance and efficiency.

Testimonials

Hear directly from our clients about their experience working with KJ Audit & Accounting. We’re proud to be trusted for our professionalism, responsiveness, and reliable audit services that make compliance simple.

It is without hesitation I recommend “KJ Audit & Accounting”. Kavitha has been the auditor for the last three financial years for the “Lyndale Park Owners Corporation”.

She has proven to be diligent, thorough and efficient with her audit process ensuring that we are compliant with the relevant requirements of the “Owners Corporation Act 2006”.

Being confident that we are tabling a compliant set of End of Year Accounts to the Owner Corporation members for their approval gives myself and the “Owners Corporation Committee” peace of mind.

We will continue to use “KJ Audit & Accounting” into the foreseeable future based on the past exemplary service.

— Christopher Doyle

Kavitha did a terrific job with the audit of our AFSL. Everything was completed with a mimumum of fuss and in quick time.

— Patrick Fouvy

We have moved our AFSL auditing over to Kavitha and the team at KJ Audit & Accounting. We are very impressed with their service levels and professionalism. I would highly recommend them.

— Daniel Lane

Have used services of Kavitha from KJ Audit and Accounting for two years and have found her to be extremely professional in her dealings. She is prompt and responsive.

— Vviral Parekh

We engaged Kavitha to take over the auditing of our AFSL as our previous auditor was no longer offering this service. We encountered many issues during this transition & I couldn’t speak highly enough of Kavitha’s work to produce the desired outcome in such a short period of time. Thank you so much for all your help Kavitha!!

— Sam Romeo

Kavitha and the team were professional, efficient and great value. We look forward to working together long-term for all of our future audit needs.

— Cameron Vallve

Who We Work With

We provide AFSL licensees for:

Why Choose KJ Audit & Accounting

At KJ Audit & Accounting, we’re known for:

Experienced Specialists

Over 27 years of expertise, including Big Four training.

Independent & Reliable

Reports trusted by regulators and stakeholders.

Flexible & Accessible

We work around your schedule and travel to you.

Personal Service

Direct access to senior auditors, not juniors.

Ready for a Hassle-Free Audit?

Get in touch with our team today to book your AFSL audit consultation.

Proven Results for Our Clients

See how we’ve helped organisations stay compliant with clear, timely, and trusted audit solutions.

Lawyers

Trust Account Audits Made Simple for Legal Professionals

Lawyers

Trust Account Compliance for Legal Professionals

Real Estate Agents

Professional and Seamless Trust Account Audits for Real Estate

Frequently Asked Questions

Have questions about audits or how we work? You’re not alone. Here are answers to some of the most common queries our clients ask — making it easier for you to understand the process and know what to expect.

Do you only service clients in Victoria?

No. While we are based in South East Melbourne, we work with clients across Victoria and throughout Australia. We also provide flexible arrangements, including travel to your office or working with you remotely, to ensure your audit is seamless.

How long does an audit usually take?

The timeframe depends on the size and complexity of your organisation. In most cases, audits are completed within a few weeks, and we always ensure they are delivered well within regulatory deadlines. Our efficient process helps minimise disruption to your daily operations.

What documents do we need to prepare for an audit?

Typically, we’ll ask for:

Financial statements
Bank reconciliations and trust account records (if applicable)
Supporting documentation such as invoices, receipts, and ledgers
We’ll provide you with a clear checklist at the start of the process to make preparation simple.

Why should we choose KJ Audit & Accounting over larger firms?

With over 27 years of experience, including Big Four training, we deliver the same expertise as large firms but with a personalised approach. Clients value our responsiveness, transparent pricing, and direct access to senior auditors, which larger firms often can’t match.

Contact Us

Our friendly team would love to hear from you.

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