Certainty Compliance designs compliance systems that genuinely work. Our team of compliance specialists bring together many years of practical experience gained designing and implementing compliance systems in Australia and internationally.
What we are not
We are not lawyers who will simply hand over a pile of pro-forma documents or an opinion, then leave you to fend for yourselves.
We are not software vendors or publishers selling software tools that you have to implement yourself.
We are not trainers who deliver hours of words rather than understanding and competence.
What we are
We are a team of professionals who have run financial services businesses themselves and understand the practical difficulties of ensuring compliance. Our people come from a variety of financial services backgrounds including funds management, investment banking, broking, consulting and legal.
Our team includes people with experience in strategy and business management, finance, risk management, legal and compliance, sales management, change management, training and assessment. We are the people who can make compliance second nature to your business. So who are we?
Michelle East, Director
Certainty Compliance assists financial institutions, carbon and electricity market participants, funds managers, advisors and brokers, derivatives dealers and market operators set up new businesses, obtain appropriate licences and grow into successful, compliant businesses.
Michelle East established Certainty Compliance in 2007, building on extensive financial industry experience including 15 years work in compliance and risk management. In 2002, Michelle was engaged by Australian Financial Markets Association (AFMA) to assist their electricity and financial markets members’ transition to the new Financial Services Reform regime. In 2012, Certainty Compliance was assessed by the Carbon Markets Institute as having expertise and experience to assist their members transition to carbon market licensing. Michelle will be joining the Victorian Government Trade Mission to Carbon Expo in Cologne.
Prior to establishing her consulting practice, Michelle was a financial markets practitioner. She began her financial services career in investment services for Perpetual Trustees. Following this, she joined Westpac Banking Corporation. At Westpac, she held dealing and product management positions before moving to risk management responsible for compliance, credit and operational risk frameworks. As a Project Manager for Customer Management Initiatives and then Head of Strategy, she was responsible for developing strategy and implementing change programs in the Investment Bank.
Michelle has contributed to development of industry standards such as the AFMA Code of Conduct and Ethics and AFMA Standard Controls for Operating Risk and represented the industry on regulatory issues. Certainty Compliance developed Austrade’s Financial Services Gateway e-portal to assist international companies seeking to establish business in Australia navigate their way through the maze of regulatory requirements.
Michelle holds a Bachelor of Business in Economics and Finance, Post Graduate Qualification in Change Management, and CertIV in Workplace Training and Assessment.
Dr Karel Nolles, Senior Consultant and CTO
Dr Karel Nolles did his PhD in economics and engineering and was a founding director of the UNSW Centre for Energy and Environmental Markets from 2004 to 2006.
Karel joined Macquarie Capital (and later Macquarie Global Investments) in 2007 as a Director in the Climate Change and Utilities team where he worked until 2013.
During this time he was responsible for deal origination, execution and asset management regarding a range of Macquarie Bank investments and advisory mandates related to electricity markets, clean technology, carbon trading, water trading, and other environmental products.
He represented Macquarie as a Director on the boards of a number of Macquarie invested companies, including Envex, NextGen, The Waterexchange, and Climate Friendly, and was seconded from Macquarie for most of 2012 to be the Managing Director of the NextGen electricity brokerage business.
From 2014 to 2016 Dr Nolles was Head of Market Design for SocietyOne, one of Australia's leading FinTech companies, where he led the team to design and implement the SocietyOne market place, including developing robotic/AI investor bidding agents and systems for realtime market surveillance, operational monitoring, data simulation and analytics, and applying machine learning techniques. Over $100m of loans have been funded by SocietyOne using these platforms.
Dr Nolles was a partner with Michelle in a predecessor company to Certainty Compliance, which he left when he became an academic, and Michelle and Karel have worked together in various capacities over the last 15 years.
As well as assisting on compliance advisory, he is also leading our efforts to develop the next generation of AI/Machine Learning based compliance tools for our clients.
Rob van Veenendaal, Senior Consultant
Rob van Veenendaal is a funds management operations expert, with over 18 years industry experience. He has held senior positions with GoldLink Capital Asset Management, CIBC World Markets Australia, UBS Australia and Billiton Australia.
Rob has a diverse background and started his career with commodities marketing and trading with a Billiton, then based in the Netherlands, which sent him to Australia (Melbourne) in 1993. He then joined UBS in their Sydney commodities department, and was some years later hired by Canadian Imperial Bank of Commerce (CIBC) to set up a financial products desk in Sydney. Rob then joined GoldLink Capital, a start up commodities fund manager in 2002 and as Chief Operating Officer helped grow this business into a group with over 10 employees managing two listed investment companies and a separate Responsible Entity.
He specialises in all aspects of AFS licensing and fund set-up, including ongoing requirements, compliance, marketing, outsourcing and improving general operating procedures. His operations experience includes IT, training and all back office procedures.
Rob’s qualifications include a Diploma of Financial Services (AFMA), Diploma of Financial Markets (SIA), and the AICD Company Directors Course Diploma. He has a Masters degree from the Business School of the University of Groningen in the Netherlands. He is a Senior Associate of the Financial Services Institute of Australasia, and Graduate Member of the Australian Institute of Company Directors.
Daisy Nathania, Compliance Analyst
Daisy Nathania is an experienced financial-services professional. Daisy developed her meticulous attention to detail and assurance skills in her previous roles as auditor. Having worked both in Australia and Singapore, she brings an international outlook to her coordinating role as a Compliance Analyst.
Daisy’s strengths also include her investigation skills, being highly competent with applying technology to compliance monitoring. Daisy is an expert on Anti-Money Laundering legislation and client onboarding. Extremely organised, her diligent work ethic ensure that Certainty’s clients keep on top of their compliance obligations.
She holds a Masters of Professional Accounting (UNSW), Bachelor of Science in Accounting and Finance (University of London) and a Diploma in Economics.