Business governance risk and compliance
Business Governance Review
Helps businesses put in place clear, effective decision-making and oversight so that accountability is well defined as the business grows or comes under greater regulatory scrutiny.
This service covers:
• Governance structure and decision-making review
• Roles, responsibilities and delegated authority
• Board and committee terms of reference
• Reporting lines and management oversight
• Policy framework review
• Recommendations and implementation roadmap
Business Risk Review
Helps established businesses identify, understand and manage the risks that could disrupt performance, damage reputation, or threaten long-term viability.
This service covers:
• Risk identification across operational, financial, commercial, regulatory and reputational risks
• Risk assessment and prioritization
• Controls review / gap analysis
• Risk mitigation action plan
Business Compliance Review
Helps businesses identify where they stand against their legal and regulatory obligations, and address gaps before they become problems.
This service covers:
• Regulatory landscape mapping
• Compliance gap analysis
• Policies and documentation review / drafting / update
• Regulatory change readiness review
• Compliance improvement / monitoring plan
Financial Crime Compliance Review
Draws on direct experience of financial crime control testing and regulatory inspection to help businesses build and evidence effective financial crime control.
This service covers:
• AML/CFT policy and control design
• Financial crime risk assessment
• Customer risk assessment methodology development
• Customer due diligence (CDD/EDD) and transaction monitoring reviews
• Transaction monitoring rules review
• Suspicious activity / transaction reporting review
• Control effectiveness testing
• Regulatory / inspection readiness and gap analysis
• Staff training and awareness
