Regulatory & Compliance Advisory
Independent oversight for businesses that answer to regulators.
AML/CFT frameworks, governance support and compliance programs built to withstand examination, across industries and jurisdictions.
§ 01 · SERVICES
Six disciplines, one standard of rigour.
- 01
AML/CFT Framework Design
Risk assessments, policies, procedures and controls.
- 02
Independent Compliance Review
Audits and effectiveness testing of existing programs.
- 03
Outsourced Compliance & MLRO Support
Ongoing oversight and reporting.
- 04
Regulatory Licensing Support
Application readiness and regulator engagement.
- 05
Governance & Board Advisory
Oversight structures, reporting lines, accountability.
- 06
Training & Awareness
Role-based AML/CFT training for staff and boards.
§ 02 · APPROACH
A structured engagement, from first assessment to ongoing review.
Step 01
Assess
We establish the regulatory perimeter, your risk exposure and the current state of your program.
Step 02
Design
We set out the framework, controls and governance proportionate to the risks identified.
Step 03
Implement
We work with your team to embed procedures, systems and responsibilities in practice.
Step 04
Monitor
We test, review and report, so the program remains effective as the business changes.
§ 03 · WHY INDEPENDENT OVERSIGHT
A program is only as credible as the scrutiny it has survived.
Regulators increasingly expect firms to demonstrate not only that controls exist, but that they work. Internal teams are close to the business, which is a strength in operation and a limitation in review.
An independent adviser brings distance: the ability to test assumptions, challenge documented processes against actual practice, and report to the board without commercial pressure from within.
“Examiners do not ask whether you have a policy. They ask whether it is followed, tested and owned.”
§ 04 · INDUSTRIES
Sectors we advise.
- 01Payments & EMIs
- 02Digital Assets & VASPs
- 03Gaming & Betting
- 04Banking & Lending
- 05Investment Firms
- 06Corporate & Trust Services