ABOUT US
With 20+ years' experience in compliance, our aim is simple.
To deliver efficient and effective compliance support
to financial services firms
OUR APPROACH
Services range from ongoing support to ad hoc projects.
Ad hoc advice on business strategy.
Compliance monitoring support.
Projects include reviewing your compliance manual and conducting compliance health-checks.
Taking firms through the authorisation process and aiming to make the process as smooth as possible.
Services are tailored to your own business and procedures are designed to meet your specific requirements.
- Designing policies & procedures
- Delivering staff training
- Board briefings
- Coaching compliance staff
- Acting as Non-Executive Director
- Designing Risk Management frameworks
THE PROCESS
STEP 1
Initial consultation to understand your business and its strategy
STEP 2
Collaborating with you to provide support services relevant to your business needs
STEP 3
Services agreed
and delivered as required
STEP 4
Follow up to check on progress and
help embed changes
PRISCILLA GAUDOIN, FICA
SPECIALIST IN GOVERNANCE, RISK AND COMPLIANCE ISSUES
EXPERIENCED CHIEF COMPLIANCE OFFICER AND MLRO
HAS WORKED WITH A VARIETY OF FIRMS TO DESIGN AND IMPLEMENT PROCESSES
DEVELOPED COMPANY POLICIES AND PROCEDURES
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