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Regulatory & Compliance Advisory

We help you build compliance frameworks that staff can follow and regulators can trust. The aim is not to drown you in policies, but to create a clear, risk-based set of controls with evidence that can be produced when asked.

Scope

01

AML/CFT

  • Enterprise-wide risk assessment (EWRA)

  • CDD and EDD standards, including source-of-wealth/funds

  • Sanctions, PEP and adverse-media screening approach

  • Transaction monitoring design and tuning

  • SAR/STR procedures and documentation

03

Privacy & Data Governance

  • Records of Processing Activities (RoPA) and data-flow mapping

  • Lawful bases, notices and consent models

  • Data subject rights handling

  • DPIAs for high-risk processing and AI use cases

02

Conduct & Governance

  • Board and committee charters, delegations, and decision-making

  • Conflicts of interest, inducements and best-execution where relevant

  • Client asset protection, complaints and redress procedures

  • Whistleblowing channels and investigation steps

04

Compliance Management

  • Policy suite design and maintenance

  • Compliance monitoring plans and thematic reviews

  • Regulatory mapping and horizon scanning

  • Board MI, dashboards, and annual compliance reports

Compliance isn’t a “tick-box” exercise. It’s how you prove that the business is being run the way you say it is.

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