Services
Compliance assessment
A complete, requirement by requirement assessment of your policies and procedures against the regulations that apply to you.
Who it is for
Compliance and risk teams, boards and internal audit functions that need an evidenced view of regulatory obligations.
When firms call us
Before a supervisory visit; after new regulations are issued; on appointment of a new Chief Compliance Officer; ahead of a board attestation.
What we do
Confirm the regulatory scope, map applicable requirements, assess your documents and review findings with your team.
What you receive
A requirements register, a verdict for every requirement, a prioritised gap report and a remediation plan.
Supported by Mutabiq by Treehouse
Mutabiq links each requirement to document evidence and a clear verdict, creating a traceable assessment.
Every requirement, evidenced.
Know where you stand.
Ask us for a demonstration of Mutabiq, or talk to our team about your regulatory priorities.