Compliance Management

The second line of defense is responsible for the design and implementation of the compliance monitoring framework /program and risk reporting to Senior Management and the Board.  With our outsourced compliance officers, we will ensure comprehensive compliance coverage over significant areas concerning anti-money laundering, counter terrorism financing, conduct risk and more.

SLoD Compliance Management Program is more than doing customer due diligence. We quantify risks and monitor your compliance over 50+ control items.

What SLoD solution includes

• Compliance Monitoring Plan
• Compliance Monitoring Plan Work Sheets
• Risk Appetite Framework
• Internal Control Framework
• Compliance Officer Reports
• Dedicated Compliance Officer

Outsourced Compliance Officer

Use our outsourcing solutions and engage our Compliance Officer to support your business needs. The Compliance Officer will review client onboarding applications and ensure adequate due diligence has been performed, risks have been properly identified and make a recommendation to you on whether to engage in business relationships.  The Compliance Officer will test controls in accordance with the Compliance Monitoring Plan pre-defined according to the Internal Control Framework and provide a report to the Board on the adequacy of the Compliance Program.

Engage our Compliance Officer today!