Compliance Programmes and Support
Compliance policy and procedure documents are the foundation of any compliance programme, both in terms of organisation and management.
These documents facilitate compliance with applicable laws, regulations and standards and are a basis on which controls can be monitored and tested regularly to ensure effectiveness.
In many cases, failure to comply with policy requirements can lead to significant fines and penalties. Waystone Compliance Solutions has the relevant expertise and knowledge to develop well-designed and comprehensive policies and procedures to protect organisations from increasingly rigorous legal and regulatory constraints while reinforcing a culture of compliance and ongoing monitoring. Our services include the following:
- compliance manuals
- compliance programme design and support
- global compliance administration
- risk management frameworks
- corporate social governance policies and parameters
- operational manuals
- AML policies and procedures
- expert compliance programmes
- employee handbooks and code of ethics
- business continuity plans
- internal control documents.
The regulatory space is continually evolving and this may mean that there are many ongoing requirements. Organisations therefore need to establish monitoring and ongoing surveillance processes that allow them to identify, analyse and mitigate potential compliance violations.
We assist our clients by objectively analysing whether they are meeting the specified guidelines, industry requirements and regulations in order to mitigate ongoing risk. Our team has technical knowledge and commercial awareness, paired with
outstanding client service.
Our compliance reviews take a risk-based approach and include a thorough examination of an organisation’s existing policies, procedures and risk mitigation processes and systems. We are able to identify any possible non-compliance with legislation and regulations, operational weaknesses and areas not covered or inadequately dealt with in the existing policies and procedures to ensure that you have the best compliance programme foundation in place.