Support that grows with you.
Nature, Scale and Complexity of your business determines how much attention you get from supervisors.
This means that at the start of your journey, when both the scale and the complexity of your business is minimal, the compliance support you need is also minimal. However, as your business grows, so will your regulatory oversight and compliance obligations.
Our support model is carefully curated to help firms at different stages of their growth journey:
- 1. Assurance: for firms just starting out with a small operational footprint.
- 2. Comply+: for firms with scaling operations that require robust evidencing of compliance activities.
- 3. Risk++: for firms with increasing complexity that require robust evidencing of risk-based decisions.
Got a specific question? Why not book an absolutely free consultation to explore how we can help you put your compliance on auto pilot.Book Office Hours
|Independent Compliance Assurance|
Perform compliance assurance reviews to ensure the business is correctly evidencing compliance activities in line with the necessary regulatory requirements, highlighting and remediating any gaps in the operational capabilities of the business.
|Reporting & Stakeholder management|
Manage compliance reporting for Board, Board sub-committees and external stakeholders, include primary licence holders, e-money holders, Master Card / Visa etc.
Excludes direct engagement with regulators.
|On-going policy management|
Maintain business policies and procedures to ensure the business continues to remain compliant following changes in regulations or regulator’s expectations.
This also includes designing and delivering ongoing compliance training for all staff.
Be the main point of contact with the local financial services regulators and hold a regulated compliance roles, through our extensive partner network, like the Compliance Oversight Officer, Money Laundering Reporting Officer (MLRO) or Data Protection Officer (DPO).
|Risk Management Support|
Develop, implement and operate a risk management framework, including managing a Board Risk Committee to help the Board make and evidence risk based decisions. Ideal for supporting CROs.
* ADD ON : hold a regulated role like Chief Risk Officer if required locally and manage risk related reporting to all external stakeholders, including regulators.
Policy Suite Maintenance
Regularly update business policies and procedures to reflect changes in the business operations, regulations or regulatory expectations.
Prepare, validate and submit R&C reports to internal stakeholders, including Compliance Dashboard, Assurance review reports etc.
Fit & Proper Assessments
Train, screen and assess senior management to demonstrate they continues to meet regulatory expectations (SM&CR compliance).
Prepare, validate and submit R&C reports to external stakeholders, including the regulators, and manage any queries related to the reports.
Develop and delivery mandatory Risk and Compliance training for all staff, including Financial Crime, Cyber, Risk Incidents etc.
Provide support with mandatory appointments such as Money Laundering Reporting Office (MLRO), Data Protection Office (DPO) etc.
Monitor changes in the regulations relevant for the business; performing gap analysis and recommending remediation actions.
Develop, implement and operate a risk management framework to support risk-based decision making for the Board and senior management.
Independent Financial Audit
Arrange the necessary independent financial audits, if required, through our network of trusted partners and affiliates.