Gap Analysis: We will benchmark your current compliance capabilities against our proven compliance architecture and bring to the firm’s attention any material gaps that need remediating.
Compliance Monitoring: We will design, implement and execute your compliance monitoring programme. A senior consultant will review the outcomes of the test procedures to ensure that only material issues are brought to the firm’s attention.
Ad-hoc Advice: Through C.O.R.E. the firm will have access to our subject matter experts to ensure any questions are addressed as quickly as possible whilst your appointed relationship manager maintains oversight of the service.
Compliance Documentation: With access to over a 100 updated template compliance policies, procedures and manuals, we provide the capability to replace or complement your current documentation.
Periodic Reviews: We will meet with senior members of the firm to bring to their attention the outcomes of the monitoring and to discuss upcoming regulatory change or planned changes to the business. We will ensure all change is fed into the firm’s compliance framework.
Compliance Platform: Our service is delivered via our online compliance platform. All of the firm’s staff will have access to the platform and the firm will benefit from increased record keeping, controls and audit capabilities.