Regulatory Compliance
Boards and senior management must remain focused on actively managing compliance risks, navigating dynamic and increasingly complex regulatory landscape, whilst taking account of socio economic and geopolitical factors to maintain a viable business.
- Compliance regulations remain a critical domain for business to manage risks effectively and efficiently and extends to market conduct and financial crime compliance including AML, sanctions, anti-bribery and corruption, terrorism and proliferation financing.
- Core expertise and experience are essential in developing, driving and implementing a compliance program tailored to the needs of the organization and designed to enable sustainable business growth.
- A dynamic compliance risk management program is an essential driver of business success that reinforces reputation as a competitive advantage and enhances brand value, leading to sustainable performance growth.
- Strength of our practical hands-on experience and depth of expertise in regulatory financial crime compliance with international financial institutions, is specific to the middle-east region and provides the required expertise for assessing and enhancing bespoke compliance governance frameworks with current/emerging international regulations.
- Our depth of financial services experience and capabilities anticipate and interpret compliance directives and regulatory expectations that:
- Identify and incorporate enhancements in the intrinsic quality of compliance governance framework.
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- Drive cohesive programs with integrated controls to proactively manage compliance risks
- Pre-empt conflicts and duplications with process simplification, ensuring prompt exception identification, escalation and resolution.
- With the purview of governance, compliance and risk ever evolving, the scope and coverage of our complete expertise extends to :
- Progressive Compliance regulations including AML, sanctions, anti-bribery & corruption, conflicts of interest, market conduct, client & product suitability, etc.
- Framework enhancements – Policies, Procedures, Operations, Technology, etc.
- Quality Assurance Assessments across the Compliance and Financial Crime Compliance (FCC) framework
- Governance & Compliance reporting and management information validations
- FCC and Economic Substance Regulations (ESR) reviews and reporting.
- Customer Suitability Advice – assessing client suitability processes for investment products and customer classification.
- Customised training on current and evolving regulations.
