Compliance processes, policies and procedures

We can help you stay compliant in a practical and efficient way that is appropriate to your business. Our team can provide with a range of compliance procedures manual, operating procedures manual, corporate governance, and business continuity plan.

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How we can help:​​

  • Supporting the development and maintenance of a risk-based compliance management programme

  • Collaborating with colleagues to assist in developing appropriate control measures to manage, amongst other things, KYC, AML, sanctions, complaints handling, and safeguarding

  • Ensuring all regulatory returns and responses to regulatory requests are accurate, complete and submitted on time

  • Maintaining compliance policies and procedures, including KYC/ AML and sanctions screening

  • Reporting on regulatory developments and make suggestions with respect to related compliance policy and procedure enhancements

  • Providing training, guidance and thought leadership pieces on compliance and regulatory risk issues and trends to colleagues and the leadership community

  • Developing and implementing a trackable programme of mandatory compliance training to be completed by all relevant employees and contractors

  • Supporting internal and external audit reviews