FLoD: First Line of Defense

A look at the First Line of Defense

Front line decision makers need the tools and confidence to execute strategic decisions within your organization’s objectives.  As the First Line of Defense, your client facing staff are often the first point of contact and present your organization’s image, professionalism, and ease of doing business.

We have designed a suite of services specifically to support front line staff. Benefits of our FLoD suite of services:

  • Our Operational Management Toolkit provides the tools required to start operating under regulatory compliance.
  • Engage an Account Documentation Specialist and free up your front line staff’s time to focus on revenue generation.
  • Gain access to a Client Portal where your customers can interact and store documents.
  • Be alerted of undesirable matches through the screening application.

Operational Management Toolkit

With our Operational Management Toolkit, we will provide the policies, checklists, forms and training required to ensure compliance with MAS and ACRA regulations.

Be kept abreast with recent updates that alter higher risk jurisdictions and industries.

What the Operational Management Toolkit includes:

  • Client Onboarding Forms
  • File Review Checklists
  • Comprehensive set of policies on AML, CFT and conduct risk
  • Lists of Higher Risk Jurisdictions and Industries
  • Personalized training to your business

Account Documentation Specialist

Use our outsourcing solutions and engage our Account Documentation Specialist to support your business needs. The Account Documentation Specialist will provide support in the client onboarding process, file reviews and perform the screening and due diligence checks necessary prior to submitting the case over to the Compliance Officer.

Reduce sales leads from turning away from complex form filling. Our Account Documentation Specialist can work with you, or with your customer directly, to ensure pre-requisite onboarding information is obtained and customer documentation verified.

Our Account Documentation Specialist will remediate your existing client portfolio and ensure that you keep abreast of any outstanding documentation and be alerted of significant concerns though periodic checks.

Onboarding application

We partner with a leading technology provider to ensure a smooth customer experience. When you engage our Account Documentation Specialist, you get access to our Client Portal. Your customer can submit documentation and interact with our Account Documentation Specialist through an app to complete the client onboarding journey.

Screening application

We partner with a leading RegTech provider to screen your customers against prescribed regulatory lists, sanctions lists and black lists. Our Account Documentation Specialist will alert you of any undesirable matches.

Engage an Account Documentation Specialist today!