What we do

We design our work around our clients’ businesses and business models. We add value in three key areas:

 
Compliance

Supporting your compliance needs by helping to improve your firm’s compliance infrastructure, for example by designing or reviewing the compliance monitoring programme or preparing the compliance manual. We also supply compliance input through tailored reviews and ad hoc compliance advice.  Please also see Build a risk-based compliance framework.

Risk Management

Conducting risk reviews, helping develop your risk register and where appropriate linking it to the internal capital adequacy assessment. We specialise in developing tailored models which map our clients’ systems, controls and procedures to specific risks (be they compliance risks or wider operational risks), and align them to monitoring programmes and corresponding management information and reporting. This provides significant value to a firm’s ability to demonstrate oversight and governance.

Governance

Reviewing how governance arrangements match up to regulatory and statutory requirements and codes, assisting firms in making any adjustments and documenting processes – particularly linking governance to risk management.  Being able to demonstrate and record the competence of those performing significant influence functions is a major requirement in today’s regulatory environment: we offer tailored coaching and training to senior management on regulatory expectations and responsibilities.

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