Control Framework including automation using up to date Reg and Fin Tech solutions

Enterprise Risk Assessment, Governance, Compliance and Operational Risk Framework design, streamline and implementation, including Policy and Procedure creation and enhancement. 

Our areas of coverage include but are not limited to:

• Financial Crime: AML, KYC, Sanctions, Fraud, Bribery, Corruption, including creation of risk assessment frameworks, Trade Finance and Correspondent Banking AML controls​
• ​Cross Border controls
• Market Abuse controls, including Watch list implementation and co-ordination
• ​Conflicts of Interest controls
• Gap Analysis and translation for new regulation implementation, across business lines control requirement
• Outsourcing​
• Compliance Program Management
• 3rd party vendor systems selection and implementation
• New Products Implementation
• ​Client Suitability
• Fees and Commissions

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Regulatory and Audit Remediation, Operational Effectiveness Testing and Investigations

 1. Regulatory and Audit inspection assistance including post inspection gap analysis and remediation;

2. Ad-hoc and pre-inspection compliance and operational risk control framework effectiveness testing​ and health checks; and
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3. Investigation management​

Compliance Coverage
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Compliance, Anti-Money Laundering and Operational Risk coverage to provide assistance during periods of resource constraints, and offering to train up junior staff members.