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.
How we can help:
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Supporting the development and maintenance of a risk-based compliance management programme
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Collaborating with colleagues to assist in developing appropriate control measures to manage, amongst other things, KYC, AML, sanctions, complaints handling, and safeguarding
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Ensuring all regulatory returns and responses to regulatory requests are accurate, complete and submitted on time
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Maintaining compliance policies and procedures, including KYC/ AML and sanctions screening
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Reporting on regulatory developments and make suggestions with respect to related compliance policy and procedure enhancements
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Providing training, guidance and thought leadership pieces on compliance and regulatory risk issues and trends to colleagues and the leadership community
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Developing and implementing a trackable programme of mandatory compliance training to be completed by all relevant employees and contractors
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Supporting internal and external audit reviews