Keeping up with regulations and ensuring you are carrying out your duties, can place heavy demands on you and your team. We provide compliance and governance support for one-off projects, or an ongoing resource to help you meet your obligations.
What we do:
Updating/maintaining governance documents including policies and procedures
Due diligence checks
Management information reporting
Document collation for any audit or compliance review
GDPR and safeguarding research
Maintaining regulatory registers such as gift and hospitality
Supporting regulatory projects such as annual compliance reviews
FCA authorisation process
Conducting money laundering checks
File checking
Database management
Monitoring of deadlines
Managing the ToBA process
Get in touch with us today for more information: