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Our people have been leading the way in Compliance Advisory & Delivery since 1979

A unique blend of qualified lawyers, project managers, paralegals, compliance and IT specialists.

Onsite, offsite, nearshore, offshore, re-shore.

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Compliance Advisory

Authorisation PRA & FCA
Risk assessments and control frameworks
Project assurance for existing compliance programmes
Regulatory updates & response to new regulatory initiatives
Health checks & file reviews
Audits and compliance management
Gap analysis and Remediation
Target operating models
M&A regulatory due diligence reviews
Shadow S.166 reviews
FSMA Part vii
GDPR, MiFID II, Sox, FATCA, MLR 2017, EMIR etc

Compliance Evidencing

Global compliance control and reporting
Automating manual control environments
IT General Controls
Maintaining compliance during IT change
Provision of compliance operations
On-site or off-site compliance resourcing
Documentation, procedures
Design and provision of dashboards
Benchmarking & designing MI applications
Embedding compliance across platforms and projects
Bringing unregulated environments into compliance

Compliance Project Rescue

Failing compliance project turn-around in critical time-frames
Merging different control environments
Complaints handling reviews
Response to regulatory issues e.g. s.166
BAU remediation
LEAN compliance
FSMA Part vii
GDPR, MiFID ii, Sox, FATCA, MLR 2017, EMIR etc

Compliance Outsourcing

Outsource compliance and controls reviews
Cloud-based control reviews
Short term or long-term outsourcing
On-shore, near-shore, offshore
Reshoring

Financial Crime Money Laundering Compliance

Fraud
Electronic Crime
Money Laundering
Terrorist Financing
Bribery and Corruption
Market Abuse and Insider Dealing
Information Security
AML

Compliance Training

Bespoke compliance training for managers and staff
Evaluation of existing in-house compliance training
Management advice, support & training
Continuing assurance
Behavioural change programmes
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Reach Us

You can reach us by:
0203 943 9356

info@confidenceincompliance.com

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