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Woman Climber

Risk Management, Compliance and Control

Risk Management, Compliance and Control

Robust and effective risk and compliance practices are essential for organisational progression and growth.  We can provide independent assessments of control functions and business key controls leveraging our end to end approach. 

Considerations

  • Do you understand your true risks?

  • Are your control functions fit for purpose?

  • Do you have clearly defined Risk and Compliance frameworks? 

  • Are your key policies  up to date?

  • Have you developed an errors, fines and losses register and remediation programme?

  • Have you completed a Fraud risk assessment given remote working?

  • Do you have a conflicts of interest register? 

  • Are client complaints adequately identified and addressed?

  • Pricing issues are a key regulatory focus, do you have adequate policies and controls? 

In summary

  • We can advise on current regulatory themes

  • We can complete process reviews and assist in defining critical controls 

  • We can assist in developing regulatory remediation programmes 

  • We can assist in identifying potential pricing risks 

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