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Compliance Services

Services to Credit Institutions, Investment Firms, Financial Service Providers

Compliance is one of the top risks institutions operating in the financial sector face. At the core of our practice is our grasp of the structural regulatory reforms and the evolving regulatory expectations. Our professionals have designed and operated compliance systems and have implemented EU regulations.

We conduct regular and special reviews, and develop thorough and efficient compliance programs, overseeing their Design, Implementation, Review & Testing.

Compliance Program Design

  • Compliance Risk Governance
  • Preparation and documentation of internal policies, supporting procedures and processes
  • Compliance Risk Assessment Methodologies and Systems
  • Compliance Programs Monitoring
  • Compliance Issue Tracking Systems
  • Compliance Risk Reporting Packages for Board-level and Management Reporting

Compliance Program Implementation

  • Compliance Staffing Plans & Outsourcing
  • Implementation of compliance-driven procedures and processes
  • Internal Controls Implementation
  • Implementation of quantitative and qualitative methodologies
  • Data Capturing
  • Setting Compliance Risk Management Objectives

Compliance Program Review & Testing

  • Investigation and Remediation of Compliance Lapses
  • Key Performance Indicators – Set Up & Monitoring
  • Compliance Training Design and Delivery

Anti-Money Laundering: Know Your Customer and Risk Based Assessment

Increased pressure surrounding compliance with Anti-Money Laundering (AML), Know Your Customer (‘KYC’) and sanctions requirements is a key focus for management. Firms need to ensure they are following appropriate compliance procedures to meet the increasing regulatory demands.

Services on offer include:

  • KYC Requirements: Preparation and Implementation
  • Risk-based AML Assessments: Review, Evaluation, Implementation
  • Politically Exposed Persons (‘PEPs’): How to deal with PEPs

Specialised Compliance Services

We provide advisory services and on-going support in the following areas:

  • Regulatory Compliance to Investment Firms, FX Brokers, Payment Institutions, and Banks
  • Compliance Support Services for
    • European Markets Infrastructure Regulation (EMIR)
    • FATCA
    • Other national, EU and international regulations
  • Due diligence of processes and procedures
  • Independent ‘compliance checks’ of EU Investment Firms necessary to keep their internal procedures in full compliance with the fast-changing European regulatory environment
  • Outsourcing activities
    • Preparation of internal audit reports for Management and Internal Audit Committees
    • Preparation of Compliance and AML reports
    • Compliance support for KYC and Anti-Money Laundering procedures
  • See also Financial Services related to compliance.
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