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Risk & compliance management

Ensuring compliance

Are you confident that your client onboarding, operations and compliance functions address all relevant regulations and compliance requirements?

As the Financial Services industry moves towards perpetual or continuous KYC, there are still significant challenges to overcome, including overly complex policies, subjective processes and procedures, and siloed teams. Addressing these challenges is essential to consistently manage the evolving risk environment.

Key questions:

  • Is your team able to prove ongoing compliance in real-time?
  • Are your policies clear and simple to help teams execute onboarding and refresh swiftly and accurately?
  • Are you confident that your policies and procedures accurately address all relevant regulation by product, jurisdiction etc.?

Key objectives:

Effective risk management will always be a top strategic priority. The aim of all organisations should be to make ongoing compliance easier and more efficient over time, this can be greatly helped by focusing on the following key objectives:

  • Ensuring that policy is clearly and concisely articulated
  • Generating a transparent mapping between regulation, policy and procedure in a tool which supports ongoing maintenance
  • Working towards continuous client monitoring to gain early indication of changing risk profiles
Contact us to discuss management of risk within onboarding