Compliance functions spend significant time and effort conducting various compliance monitoring tasks as part of their overall risk-mitigation initiatives. Yet, due to limited bandwidth, they are unable to effectively monitor and track suspicious activities as large volumes of documents (e-mails, chat scripts, trades, guidelines, etc.) have to be reviewed. By managing these voluminous monitoring and tracking activities, we help clients rigorously investigate all suspicious documents, false positives and false negatives. This exhaustive review helps clients uncover any hidden risks, thereby reducing risk of reputation and financial losses.

WHAT WE OFFER

Compliance Support

  • Ongoing monitoring and tracking activities/li>
  • E-communication review support
  • Marketing literature review, ad hoc monitoring activities such as OBI monitoring
  • Employee registration support
  • Reporting and tracking of compliance training
  • Training documentation support
  • Internal reporting support
  • Development of compliance monitoring tool
  • Development and maintenance of internal databases