Assurance Reviews - Waystone
      UK/EU Compliance SolutionsCompliance Advisory for the UK & EUAssurance Reviews

      Assurance Reviews

      Proactive, periodic reviews will not only provide assurance to your senior management, the board and shareholders, they are also viewed positively by the regulator.

      It is important that your controls are regularly and sufficiently challenged. We review your current compliance framework, including policies, procedures, resourcing and reporting, to assess how well they meet regulatory expectations and interpretations. We conduct full compliance reviews or specific examinations of just one area. This includes:

      Client Onboarding

      Ensure that your clients have been onboarded in compliance with the relevant conduct of business as well as AML requirements.

      AML framework

      Obtain assurance that your AML, CTF and Sanctions control framework is effective in managing these risks to your business.

      Conduct risk

      Attain an independent view as to the adequacy of your conduct risk management framework, including your product development and product governance arrangements as well as measuring your culture.

      Compliance framework

      Gain assurance on the adequacy and effectiveness of your compliance framework, including strategy, resource allocation, reporting channels, independence between your first and second line of defence, compliance intelligence and readiness for change.

      Regulatory visits

      Preparation for any regulatory interaction, including risk assessments and thematic reviews

      Compliance monitoring

      Receive assurance through your second line monitoring activity by outsourcing this function to our experienced team, who will provide a clear auditable view on the adequacy of your compliance framework and performance against internal and external requirements.

      Data protection

      Conduct a review of your controls around managing personal and confidential data.

      Benchmarking

      Draw on our extensive knowledge of current best practices across multiple financial sectors.

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      • Cayman Islands
      • Chicago
      • Hong Kong
      • Ireland
      • London
      • Luxembourg
      • New York
      • San Francisco
      • Singapore
      • Switzerland
      • United Arab Emirates (Dubai)
      • United Arab Emirates (Abu Dhabi)
       
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