Stay compliant with our consulting and support services.
Compliance challenges can come from many different directions. Sometimes from external forces – such as regulatory change, escalating threats of enforcement action, supervisory demands, or from institutional investors. Other times, the challenges are more internal – problematic processes or documentation, lack of specialist expertise, or requests from key stakeholders.
Today’s compliance officers often choose to work with third-party partners on portions – small or large – of day-to-day activities. This flexible approach ensures compliance requirements are fulfilled in a way that optimizes time and resources for the organization. Whether an organization is looking to meet a specific ongoing compliance need, or wishes to collaborate more broadly across a range of compliance requirements, we can help. Our consultants apply a wide range of skills and expertise – compliance, risk management, governance, legal, and operations – to meet the specific ongoing needs of organizations.
Our unique approach – bringing together consulting services with software – helps organizations think more strategically about how compliance can enhance the future strategy of the overall business.
Specific services that an ongoing relationship could include:
- Deliver proactive advice and business monitoring
- Provide ad hoc advice on regulatory change
- Design and assist with implementing a compliance infrastructure using a risk-based approach
- Review, update and benchmark any existing compliance policies and procedures
- Help maintain compliance policies and procedures
- Provide regulatory compliance monitoring support and/or assistance
- Train staff on compliance and regulatory matters
- Conduct an annual mock inspection/audit which includes a thematic based approach to hot regulatory topics
- Assist with any regulatory correspondence and inquiries