• 3LOD Control Framework Design and Reviews

A – C

  • APER Training Session for Board/1×1 Directors (SIFs)
  • Assurance
  • Audio Monitoring
  • Automating Compliance Checking
  • Board Education on FCA and APER Regime
  • Business assurance
  • Business Assurance & Compliance Monitoring
  • Business Model and Strategy
  • Calculations
  • Calculator Build, Assurance & Maintenance
  • Client Money/Client Assets
  • Co-sourced Compliance Monitoring Programmes
  • Complaint Root Cause Analysis
  • Complaint handling
  • Compliance Effectiveness
  • Compliance Effectiveness Reviews
  • Compliance Monitoring/Assurance – Programme Design and Reviews
  • Compliance Policies, Processes and Procedures
  • Compliance Reporting and Reviews
  • Conduct and Culture Risk Assessment
  • Conduct Risk Framework (Gap Analysis and Design & Build)
  • Conduct Risk Framework & Controls
  • Corporate Governance Benchmarking and Best Practices
  • Culture MI Assessment – Building the Suite of MI Needed for Boards

D – F

  • Digital Conduct Risk Frameworks
  • Executive Coaching to CCOs
  • FCA Authorisation & VOP
  • FCA Authorisation Support
  • FCA Change in Control/Change of Legal Status/Variation of Permission Applications
  • Financial Crime Risk
  • Financial Resources

G – L

  • GMP Equalisation
  • Governance Framework Design
  • Interim Placement of Skilled Conduct Risk Experts (e.g. interim CF10)
  • Interim Regulatory Resourcing Support (Secondments)
  • Leading Compliance Change Programmes for CRO/CF10

M – P

  • Market Abuse Controls
  • MIFiD II
  • Mock FCA Interviews
  • Mock FCA Visit/Interviews
  • Mock FCA Visits
  • Multichannel Customer Outcome Testing
  • New Business Checking
  • Ongoing compliance support
  • Outcomes Testing
  • Outsourced Compliance Operations (Fin Proms, First Line Checking, Paraplanning)
  • Paraplanning
  • Past Business Reviews
  • Product Governance Reviews – Process and Design
  • Product Suitability Reviews

Q – S

T – Z

  • Target Operating Model Design for Risk/Compliance Functions
  • Technical Advice on FCA Rules/Guidance – Impact Analysis
  • Third Party Risk Management/Outsourcing Risk Management
  • Training and Competence Programmes for Compliance Departments
  • Training and Competence Scheme and Outcome Reviews
  • Transaction Reporting – Regular Reviews/Audits & One-off Audits
  • Underwriting Audits – Insurance
  • Vulnerable Customers Strategy (Gap Analysis)

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