Our Regulation team are here to bring you the best Governance, Risk & Compliance professionals to ensure you stay on the right tracks.

Compliance:
• Compliance Monitoring (Design & Implementation of Compliance Monitoring Plan / Undertaking a range of reviews against monitoring plan, including Thematic Reviews).
• Regulatory Developments & Compliance Advisory (New Regulation / Core Compliance Advice / Front Office: Trading, Fixed Income, Equities, Derivatives).
• Investments Monitoring: Trade Surveillance / Market Abuse / Best Execution.
• Core Compliance: TCF / Complaints procedures / Gifts & Entertainment / PA Dealing.
• Training & Competence.
• Policies & Procedures.
• Sales & Distribution (Marketing Compliance, Distribution & Financial Promotions).
• Suitability Review’s/ S166 Remediation Projects / Quality Assurance.
• Control Room Compliance.

Risk Management:
• Enterprise Risk.
• Operational Risk.
• Prudential Risk.
• Investment Risk.
• Market Risk.
• Liquidity Risk.
• IT Risk.

Audit:
• Internal Audit
• External Audit
• IT Audit

Financial Crime:
• Anti-Money Laundering
• ABC (Anti-Bribery & Corruption).
• CTF (Counter Terrorism Financing).
• KYC/Client File Remediation.
• CDD/EDD (Due Diligence).
• Sanctions & Investigations.
• Transaction Monitoring/Reporting.

Change & Transformation:
• Programme Directors
• Project Managers
• PMO
• Business Analysts.

Legal:
• Counsel
• Legal Counsel
• Senior Counsel
• Attorney
• Solicitor
• Lawyer
• Legal Director
• Head of Legal
• General Counsel
• Chief Legal Counsel
• Company Secretary