Compliance Assurance Reviews

Is your compliance control framework exposed?

Proactive, periodic reviews will not only provide assurance to your senior management, the Board, and shareholders, they are also viewed positively by the regulator.

It is more likely that your controls have not been challenged sufficiently, meaning that you may be exposed to weaknesses in your control framework, yet not know about it until it is too late.

Have peace of mind with an independent review

Ensure that your clients have been onboarded in compliance with the relevant conduct of business as well as AML requirements.

Obtain assurance that your AML, CTF and Sanctions control framework is effective in managing these risks to your business.

Attain an independent view as to the adequacy of your conduct risk management framework, including your product development and product governance arrangements as well as measuring your culture.

Ensure that you are prepared for any regulatory interaction, including risk assessments and thematic reviews.

Receive assurance through your second line monitoring activity by outsourcing this function to the TCM experienced team, who will provide a clear auditable view on the adequacy of your compliance framework and performance against internal and external requirements.

Would you like to have a compliance assurance review?

Proactive, periodic reviews will not only provide assurance to your senior management, the Board, and shareholders, they are also viewed positively by the regulator.