COMPLIANCE SERVICES

Operational Reviews

We are experienced in conducting system reviews of your internal controls over your Compliance function, and other functional risk areas : reputation risk, corporate governance, credit, liquidity, fiduciary risk, operational risk including information technology, human resources, producing a written report of findings, rating any weaknesses identified, and offering recommended solutions.

Policy and Procedure

We conduct engagements to document your policies and procedures over the range of financial disciplines covered within the regulations. These include compliance (reputation risk), corporate governance, credit, liquidity, fiduciary risk, operational risk including information technology, human resources. We liaise with you to design documentation which aligns with your company’s culture and preferred presentation model.