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Risk & Compliance

Compliance & risk management today requires an active attitude towards processes and monitoring, regular policy updates, ongoing training and communication, and a high level of efficiency to manage costs and expand risk coverage. We have examined how technology helps companies deal more flexibly and effectively with their compliance and ethical risk management and by providing guidance to both chief ethics and compliance officers, and other stakeholders.

The increasing pressure from legislation, supervisors, governance, Non-financial risks, Control frameworks & change in control, and the gatekeeper function of financial institutions make the business operation model of the compliance framework and the role of the compliance department essential for both large and small financial institutions.

Having a framework alone is insufficient. Additionally, it must function well in practise. A well-designed compliance function also contributes to the optimisation of a business’s operations. Maintaining policy, ensuring proper separation of responsibilities and functions, creating risk awareness, and knowing customers and their market all contribute to the success of an organisation.

Setting up and optimising and supporting the compliance department and the compliance officer position within a financial institution requires a comprehensive understanding of applicable laws and regulations, the customer base, and a pragmatic approach to getting things done.

Numerous financial institutions lack the time and expertise to establish an adequate and high-quality compliance function that is proportionate to the institution’s nature and size.  time and knowledge to establish an adequate and high-quality compliance program that is proportionate to the institution’s nature and size. Do you require assistance with establishing or optimising the compliance framework or the compliance officer position? .

Consultation without Obligation

Request a free-of-charge consultation with one of our specialists, no strings attached. Our specialists have detailed knowledge of financial legislation and regulation. Their experience in supporting the application of these laws is beyond compare. After filling out the form, we’ll contact you within two working days.