Governance, Risk & Regulatory Assurance

We help Boards and management determine whether compliance frameworks are working in practice and whether the evidence supports that conclusion. Reviews focus on governance, controls, regulatory obligations, AML/CFT, reporting, operating processes and the quality of evidence available to management and regulators.

What we review

• Governance and Board oversight
• Policies, procedures and evidence of adherence
• Compliance monitoring and regulatory reporting
• AML/CFT risk, controls and CDD/EDD
• Operating processes, outsourced activities and control ownership

What often needs remediation

• Control gaps
• Weak Board oversight
• Insufficient compliance-function capacity
• Policies that exist but are not followed in practice
• Outdated programmes that no longer match the business