Ongoing Compliance Support

Advisory

We understand how compliance teams can often feel overwhelmed by the sheer volume of the ever-changing complex regulations, senior management reporting requirements and third-party requests.

You can take comfort in knowing that you have access to a highly skilled team of deep domain experts who thrive on transferring our knowledge to compliance teams like yours. We have supported many compliance teams with services including reviewing and updating policies and procedures, risk assessments and ongoing compliance support.

Policies and procedures

Whether it is designing new or developing existing policies or procedures, we offer support in the drafting and implementing of this documentation. This can range from reviewing policies against regulation, guidance and best practices and to reflect changes in the firm’s environment or offerings.

With all existing controls in one place, with descriptions and details on ownership of the controls, clients are best able to ensure maximum oversight of their compliance framework.

 

Compliance monitoring

We can help you with the development of policies and procedures, offering guidance on how to set up and document transaction monitoring systems.

As regulatory compliance experts, we have extensive experience in facilitating the development and execution of a compliance monitoring framework for our clients in the investments, payments and e-money, crypto and banking sectors.

 

Risk management

From whole firm to client or product risk assessments, we can support you to ensure that risks are appropriately identified, assessed and if required, mitigated.

We have extensive knowledge of both the regulations and best practice, developed from extensive industry experience and ready to be passed on to our clients.

If you are looking for assistance in an ad hoc compliance project in setting up, reviewing or improving your compliance monitoring system, risk management or policies and procedures, then let’s start a conversation today.

 

Ongoing compliance support/Retained advisory support

You have the option to avail of ad hoc advice to help solve a specific issue or prepare for new regulations or to benefit from a cost-effective ongoing support package which is tailored specifically to what you need across the full calendar year.

A standard retained advisory support contract includes:

• Review and enhancement of documented policies and procedures
• Financial promotion reviews
• Training
• Regulatory reporting
• Regulatory subject matter experts on hand to answer your team’s questions as they arise

You can take comfort in knowing that you have access to a highly skilled team of deep domain experts who have a proven track record of providing clients with value added solutions. With our expert team made up of former Heads of Compliance and MLROs rest assured we are fully aware of the challenges that our clients face.

If you are looking for assistance in ensuring you meet the requirements of UK and European regulation, then let’s start a conversation today.

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