Compliance audit


INSIGHT
Published
Oct 1st '21
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Our compliance audit will identify areas where you’re are doing well, not so well & areas that need improvement.

 

What We Review;

 

& Much more …. just ask!

 

So often when companies grow, they need new policies, procedures, processes and often times they don’t have the time to take a step back, look at the overall business and ensure that the new governance gets embedded.

 

Over time, the new procedures and processes may not actually flow very well, and the staff, and directors, take short-cuts to make things easier; better for clients and less bulky for the staff. Unfortunately, these heuristics are what cause conduct risk crystallisation and on analysis, show that things are not working so well and in many cases, not according to policy or the set procedures and processes as expected.

 

Exposed by regulatory visits, specific or themed, these aspects then open up a whole can of worms, where no-one can rely on the written word and this can then throw the whole business and it’s management (systems and controls) into question.

 

The answer?

Get an independent check by us, LS Consultancy. We will complete our assessment and provide a written report for you. This can be conducted as a Bench-marking Audit or as part of your Annual Compliance Monitoring Plan.

 

What if I just want a focus on a specific area?

The good news is that we can make the review, as focused as you want. We do a large number of AML and Financial Crime reviews for clients both in the UK and internationally. Our Compliance specialists can provide a review and recommendations report just on the areas you need.

 

Are You Left Struggling To Implement Compliance Projects? Do You Have Too Many Tasks At The End Of Your Resource? There Is A Solution!

 

LS Consultancy can be the Compliance Department you never had.

 

We can implement your projects in one of three ways;

  1. Project manage your staff and provide experiential assistance
  2. Implement alongside your staff using a mixed project team
  3. Project manage and implement the whole project on your behalf.

 

Read: Compliance Support Services Explained

 

About us

At LS Consultancy, our consultants are industry experts that interpret compliance rules, regulations and spirit of the industry guidelines by assisting you “the client” in implementing a compliance programme that you can be confident is mitigating the risk of financial crime.

 

For further information please contact us where our industry experts will be happy to answer your questions.

 

Explore our full range today.

 

Contact us

 

Why Not Download our FREE Brochures! Click here.

 

Call Us Today on 020 8087 2377 or send us an email.

 

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