Charlton Li

Charlton Li


Bachelor of Laws (Honors)
Bachelor of Commerce
Diploma of Financial Planning (inc RG 146)

Charlton has worked in the financial planning and banking industries for over 10 years.

His banking experience includes frontline and managerial roles across corporate and business banking, as well as credit risk management.

In 2012 he entered the financial planning sector, where he supported financial advisers by attending client meetings, preparing Statements of Advice, conducting peer reviews of client files, undertaking strategy, product and investment research and assisting with the construction of model investment portfolios. He also chaired the compliance and investment committee for an Australian Financial Services licensee.

Since joining Know Compliance in 2016, Charlton’s compliance activities have included conducting detailed financial planning client file reviews and preparing compliance reports for takeover / due diligence purposes and to address ASIC concerns. He has also assisted clients to prepare for Australian Securities and Investments Commission and Australian Administrative Tribunal hearings, and with the preparation of Enforceable Undertakings to the Australian Securities and Investments Commission.