UK Compliance SolutionsAssurance/Independent ReviewCompliance health check and effectiveness reviews
Compliance health check and effectiveness reviews
Our compliance health check service is tailored to our client’s requirements. We talk to our clients to understand their business profile, organisational structure, risk exposures and assurance needs to ensure that they receive the support that they require.
We believe that a one-size-fits-all service is not appropriate, particularly give the differing nature and sizes of our clients.
We engage with our clients to establish their needs, and then set out the scope of our service that will give the firm’s management body assurance that the firm’s compliance framework is operating effectively. We offer our clients the following:
- assurance on overall compliance systems and controls
- opinion on whether you meet the threshold conditions
- benchmarking against peer firms
- compliance target operating model assessment and design
- conduct risk management
- fitness and propriety of key employees
- ESG governance and greenwashing reviews
- prudential standards
- CASS compliance
- market abuse controls
- product governance, including Consumer Duty requirements
- complaint handling.
If you would like to discuss your requirements further, please get in touch using the contact form below.