RegCom Audit

As a head of compliance in a regulated financial institution, we understand the pressure you are under to ensure your processes and procedures are up to date, resilient and compliant.

The increasing regulatory scrutiny of the financial services sector by partners, investors, and regulators alike means that now more than ever, heads of compliance like you are making independent audits and reviews part of your annual compliance programme.

When you work with us, you will have confidence knowing you are dealing with the best in the business and benefit from our status as one of the long-standing auditors on panels in a number of Tier 1 banking providers.


What is a RegCom audit?

Your business will have many systems and controls in place to ensure you meet your regulatory compliance obligations. Our team review policies, sample test, interview staff and test procedures to establish whether they are working as they should. We will provide you with a comprehensive report of our findings and our recommendations, based on both our understanding of the rules and knowledge of industry standards and practice, as to how the systems and controls could be made more effective.

  • Capital adequacy
  • Safeguarding/CASS
  • Conduct of business
  • Complaints handling
  • Treating customers fairly
  • Communication with clients
  • Regulatory returns
  • Communication with the regulator
  • Fitness and propriety
  • Training

Any or all of the above can be within scope of the audit – we’ll tailor the scope to exactly what you want to cover.


Use the RegCom audit to demonstrate your best practice compliance to investors, banks and clients

An independent audit not only provides valuable insight and internal challenge for a business, it also demonstrates a healthy attitude to compliance and vital additional assurance to a potential investor.

If you would like any help to understand how a RegCom audit may help your business, please get in touch for a free audit consultation with our Director, Alison Donnelly today.

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