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Our Services

Bespoke, confidential, risk-based compliance solutions. Proportionate and practical to support and enhance your business.

Audits

With extensive compliance experience in regulatory requirements we provide a tailored audit to assist with:

    • A third party audit to review compliance with Schedule 3 and the rules of the Handbook;
    • Reviewing the effectiveness of a compliance monitoring programme;
    • Auditing of policies and procedures to ensure they are compliant with Commission requirements;
    • Reviewing compliance with Industry sector specific rules, codes and guidance and the minimum criteria for licensing;
    • Client file reviews;
    • Reviewing potential acquisitions for compliance with the regulatory framework; and
    • Third party assurance reviews.

Regulatory visits

We can liaise with the Commission on any aspect of the pre or post onsite visit whilst assisting with pre-onsite preparation, to include:

    • Explanation of the visit, requirements and expectations;
    • Review of the pre-visit questionnaire;
    • Review documentation/data to be submitted to advise on any potential issues in advance;
    • Assistance in establishing a remediation plan for existing/identified issues;
    • Remediation of any issues;
    • Preparatory interviews with the Board and relevant staff;
    • Assist with post visit Observations and Risk Mitigation Programmes; and
    • Advise on any proposed enforcement action.

Corporate Governance

We conduct peer reviews based on years of relevant practical experience reviewing businesses’ corporate governance.

We can evaluate any aspect of governance, including:

    • Effectiveness of governance frameworks;
    • Boards and their directors;
    • Board’s alignment to strategic objectives;
    • Internal systems of control for managing risks;
    • Conflicts of Interest;
    • Oversight of outsourced functions;
    • Board compliance with AML/CFT/PF;

Applications

Stephen’s primary role at the Commission was overseeing and approving applications from across the finance sectors. With this direct knowledge of the application process we can assist with:
    • Completing or advising on new applications (licences, change of controls, registration/authorisation of funds, discretionary exemptions);
    • Business Risk Assessments; and
    • Business plans.

Risk Management

With regulatory experience in investigating failings in risk management, alongside governance reporting for a global bank, we can assist in:
    • Identifying all relevant risks to your business;
    • Advising or implementing a business risk register and/or business risk assessment;
    • Devising appropriate policies, procedures and controls to mitigate risk; and
    • Reviewing policies, procedures and controls for effectiveness.

Supervised Roles & Compliance Support

    • We can provide MLCO/MLRO/Nominated Officer roles, alongside compliance support services for the MLCO or the compliance function, on interim or long term contracts. This can include undertaking your compliance monitoring programme, overseeing or undertaking client file reviews or general compliance support.
    • Our MLRO services are provided by our Senior Consultant Craig Aitken who has 10 years’ experience working as a manager in the FIU overseeing SARs and the consent regime.
    • We provide MLCO services drawing upon our compliance experience and knowledge of Commission expectations to provide a cost effective solution to you regulatory requirements.

Training

We offer a range of training packages which draw upon our regulatory and Industry knowledge, whilst incorporating practical examples

    • Board training – Risk management, responsibilities and expectations. (Executive and non-executive directors).
    • Financial crime  – Countering money laundering and financing terrorism, proliferation and proliferation financing. (For all staff and directors tailored to their requirements).
    • Enhanced Measures – understanding the requirements.
    • Supervised positions – Money Laundering Reporting Officer, Nominated Officer, Money Laundering Compliance Officer and Compliance Officer.

    We can design other training packages to meet your needs, please contact us to find out more.

Contact us

Please contact us for any further information about the compliance services that we offer.

ThreeSixty compliance consultants Guernsey