Outsourced Roles

An independent Compliance Officer who translates regulatory obligations into daily practice, policies that are used, monitoring that finds what matters, and evidence that holds up.

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Who this is for

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Licensed firms and higher-risk businesses that must maintain ongoing compliance management, monitoring, and reporting to boards and regulators.​​

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Scope 

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• Compliance Framework & Policy Suite:

  • Regulatory mapping, controlled document set, versioning, approvals, and attestations.

• Monitoring & Testing:

  • Risk-based plan, sampling, walkthroughs, findings, and CAPA management.

• Regulatory Returns & Reporting:

  • Timely, accurate submissions; record-keeping and board updates.

• Conduct & Customer Outcomes:

  • Complaints, suitability/appropriateness, inducements/marketing approvals, and product governance.

• Training & Awareness:

  • Role-based plans, induction/refreshers, comprehension checks.

• Horizon Scanning & Change:

  • Forward view, gap analysis, and change implementation with evidence.

• Incidents & Breaches:

  • Logging, root-cause analysis, notifications, and remediation tracking.