Compliance Monitoring & Independent Assurance
Independent compliance monitoring programmes tailored to your regulatory obligations.
Fully outsourced and co-sourced compliance monitoring services, helping firms independently assess the effectiveness of their governance, risk management and regulatory controls.
Whether you require a complete Compliance Monitoring Programme or independent reviews of specific regulatory areas, we deliver practical, risk-based assurance with clear recommendations and remediation plans.
Compliance Monitoring Reviews
- Design and execution of annual Compliance Monitoring Programmes.
- Risk-based monitoring plans.
- Independent thematic reviews.
- Regulatory gap assessments.
- Follow-up testing of remediation actions.
Client Assets (CASS) & Safeguarding
- CASS Resolution Pack reviews.
- Client Money reviews.
- Custody Asset reviews.
- Internal and External Reconciliations.
- Client Money Calculations.
- Trust Acknowledgement Letter reviews.
- Mandate monitoring.
- Segregation and safeguarding arrangements.
- Client Asset governance.
- Cash flow reviews.
- End-to-end client asset process reviews.
Payments & E-Money
- Safeguarding framework reviews.
- Operational safeguarding assessments.
- Reconciliation reviews.
- Payment flows and safeguarding controls.
- Regulatory compliance assessments.
Risk & Governance Reviews
- Enterprise Risk Management Frameworks.
- Risk & Control Frameworks.
- Risk Assessments and RCSAs.
- Control effectiveness testing.
- Governance framework reviews.
- Committee effectiveness.
- Operational Resilience.
- Outsourcing and Third-Party Risk Management.
Financial Crime & Conduct
- AML Framework Reviews.
- Financial Crime Risk Assessments.
- Sanctions controls.
- Fraud controls.
- Market Abuse monitoring.
- Conflicts of Interest.
- Consumer Duty.
- Suitability reviews.
Policies & Regulatory Documentation
- Review and drafting of policies and procedures.
- Compliance Manuals.
- Governance documents.
- Regulatory reporting controls.
- Board reporting.
Regulatory Readiness
- FCA readiness reviews.
- MiCA readiness assessments.
- Internal Audit preparation.
- External Audit preparation.
- Section 166 readiness reviews.
- Regulatory inspection preparation.
- Independent assurance before supervisory visits.
Deliverables
Each review includes:
- Independent assessment.
- Executive summary.
- Traffic-light rated findings.
- Root cause analysis.
- Practical recommendations.
- Prioritised remediation plan.
- Presentation of findings to Senior Management or the Board, where required.
Delivery models
- Fully Outsourced Compliance Monitoring.
- Co-Sourced Compliance Monitoring.
- One-off Independent Reviews.
- Annual Assurance Programmes.
- Fractional Head of Compliance Support.
- Fractional Chief Risk Officer & Chief Compliance Officer services.
Sectors we support
- Investment Firms.
- Asset Managers.
- Wealth Managers.
- Payment Institutions.
- E-Money Institutions.
- Banks.
- Custodians.
- Digital Asset Firms.
- Cryptoasset Service Providers.
- Blockchain and On-chain Asset Firms.
- Fintechs.