The Compliance Consultant can provide outsourced Compliance support on a permanent or interim basis.
We also provide support and assistance for businesses seeking to recruit their own in-house Compliance Officer or to upskill existing staff to carry out this important function.
It is important that every regulated firm carries out a programme of compliance monitoring that is appropriate to the scale of its activities and the risks it faces. The Compliance Consultant can work with you on:
- Designing a monitoring programme (types of testing, frequency of testing, recording results etc) that will ensure your business meets its regulatory obligations on an ongoing basis
- Training your staff to carry out the monitoring programme or carrying out the testing for you
- Reviewing the results of testing, to identify any areas needing attention or any changes to procedures required
- Updating procedures and providing training to staff on the new procedures