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Audit and Projects

Audit And Projects

Our Full Bench-marking Compliance Audit Will Identify Areas Where You’re Are Doing Well, Not So Well & Areas That Need Improvement.

How Well Do You Manage Your Firm?

Our Full Bench-marking Compliance Audit Will Identify Areas Where You’re Are Doing Well, Not So Well & Areas That Need Improvement.

So often when companies grow, they need new policies, procedures, processes and often times they don’t have the time to take a step back, look at the overall business and ensure that the new governance gets embedded.

Over time, the new procedures and processes may not actually flow very well, and the staff, and directors, take short-cuts to make things easier; better for clients and less bulky for the staff. Unfortunately, these heuristics are what cause conduct risk crystallisation and on analysis, show that things are not working so well and in many cases, not according to policy or the set procedures and processes as expected.

Exposed by regulatory visits, specific or themed, these aspects then open up a whole can of worms, where no-one can rely on the written word and this can then throw the whole business and it’s management (systems and controls) into question.

What We Review

Governance

Compliance Procedures

AML & CTF, Sanctions & Financial Crime

Compliance Monitoring Plan

Files/Past Business Reviews

THE ANSWER?

Get an independent check by specialist Compliance Consultants. We will complete our assessment and provide a written report for you. This can be conducted as a Bench-marking Audit or as part of your Annual Compliance Monitoring Plan.

COMPLIANCE BENCH-MARKING AUDIT BROCHURE

Download our Compliance Bench-marking Audit Examples brochure here to see what we can do for you – or complete the form today, and we will get back to you.

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What if I just want a focus on a specific area?

The good news is that we can make the review, as focused as you want. We do a large number of AML and Financial Crime reviews for clients both in the UK and internationally. Our ICA Compliance qualified specialists can provide a review and recommendations report just on the areas you need.

QUALITY COMPLIANCE DEPARTMENT

Compliance Consultant can be the Compliance Department you never had.

We can implement your projects in one of three ways;

  1. Project Manage your Staff and provide experiential assistance
  2. Implement alongside your staff using a mixed project team
  3. Project manage and implement the whole project on your behalf

DOWNLOAD OUR FREE BROCHURES

We offer a range of free literature to help you make a start on your FCA compliance and provide useful insights.

Have a question?

TALK TO ONE OF OUR SPECIALISTS

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