The costs and consequences of non-compliance within businesses are greater than ever before:

  • Monetary fines, while huge and growing, are just one of the costs facing a regulated business or individual. 
  • Other financial implications include the curtailment of business lines, franchise risks, increased capital requirements and customer redress programmes.
  • Non-compliant businesses face increased regulatory scrutiny, complexity, customer distrust and shareholder demands.
  • Senior managers and boards are personally liable and accountable for their own behaviour and actions.

Our compliance services help organisations address compliance challenges and sharpen their focus on core business functions. We help turn compliance into a source of competitive advantage.

Compliance Heat Mapping
We help you assess the level of operational and programme maturity and identify key areas for improvement

Regulatory change initiative programme management
We develop and implement programme management frameworks to deliver regulatory change initiatives across the business.

Process/experience mapping
We help map processes to deliver strategic and operational benefits such as reduced operational costs, increased quality, increased productivity, improved services and work simplification

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Senior executives with board level experience (CF1, CF10 and CF11)
We can supply interim cover for key regulatory positions as well as expert advice for strategic project related work

Interim project and programme managers
We provide experienced staff to create and manage programmes for strategic initiatives including regulatory changes

Interim staff from compliance analysts to compliance directors
We supply staff on a part-time, day-to-day or project basis who work on or off-site as needed. Typical expertise includes control room, equities, AML, fixed income, compliance monitoring, training and education, regulatory policy

Our range of managed compliance services can be delivered in your offices, or from an onshore  services centre staffed by a team of compliance professionals, lawyers and paralegals. Our services include:

  • Collecting compliance data, including third party due diligence
  • Regulatory investigations and reviews
  • Testing and monitoring business processes and processes
  • Rules management and policy mapping

We have partnered with a number of leading technology providers to design, implement and support the following platforms: 

  • Cognitive / AI computing
  • Training and communications
  • Robotic process automation
  • Enterprise collaboration tools
  • Data analytics and reporting
  • Investigative and data collection service

Global bank - regulatory attestation
Engaged by the EMEA CEO to help make an accurate attestation to demonstrate compliance with Senior Management Arrangements, Systems and Controls (SYSC), for their London branch. This included business lines defined by the regulator as critical economic functions. Delivered a structured programme, including a robust framework and process which can be reused for subsequent SYSC attestations and for verifying compliance with other regulation rulebooks.  

Fraud and bribery investigations
Undertaken investigation work in relation to a number of fraud/financial crimes for FTSE 100 organisations including allegations of fraud and bribery both in the UK and internationally. A recent example included allegations of fraud against a senior company officer of a global organisation where deployed a team of lawyers and paralegals to work with in-house lawyers on their in-house edisclosure platform. We made significant savings compared to typical law firm rates and provided detailed trend analysis and client reporting. 

To find out how Ethien can help you, please get in touch.