Services—GRC strategy & frameworks
GRC strategy & frameworks
Governance structures, risk management frameworks and compliance programmes designed as one system — so the board, management and control functions work from the same picture.
Who this is for
- Newly licensed firms that need their frameworks to work in practice
- Growing businesses whose controls have not kept pace with the business
- Boards that want clearer oversight of risk and compliance
- Firms preparing for an inspection or responding to findings
What a framework covers
The parts that have to fit together.
| Area | What it is | What we help you prepare |
|---|---|---|
| Governance structure | Who decides, who oversees, who is accountable | Board and committee charters, delegation of authority, reporting lines |
| Risk management framework | How risk is identified, measured and reported (ISO 31000 aligned) | Risk appetite, taxonomy, assessment method, indicators and reporting |
| Compliance programme | How obligations are tracked and tested | Obligations register, compliance plan, monitoring and testing routine |
| AML/CFT and KYC | Customer due diligence and transaction monitoring | Risk-based policy, CDD procedures, monitoring scenarios, reporting process |
| IT and cyber risk | Technology governance, security and resilience | IT risk policy, access and change controls, incident response |
| Data protection (PDPA) | Lawful handling of personal data | Records of processing, notices, retention schedule, breach procedure |
| Business continuity | Keeping critical services running | Business impact analysis, continuity and recovery plans, testing schedule |
| Outsourcing and third parties | Oversight of vendors and service providers | Outsourcing policy, due diligence, contract requirements, exit plans |
How the framework works
A framework is a closed loop: what the board decides comes back to the board as evidence.
BoardBoard sets risk appetiteHow much risk, of which kind, the business accepts
BoardPolicies translate itRules and limits for each area of the business
1st lineOperations run the controlsBusiness owners perform and evidence controls
2nd lineRisk & compliance monitorIndicators, testing and breaches tracked
3rd lineAudit gives assuranceIndependent check that the loop works
BoardReports return to the boardAppetite adjusted on evidence, not opinion
- BoardBoard & committeesSet direction and appetite; receive reports
- 1st line1st line — businessOwns risks and operates the controls
- 2nd line2nd line — risk & complianceSets the method, monitors and challenges
- 3rd line3rd line — internal auditIndependent assurance to the board
What we deliver
Frameworks the business runs, not documents it files.
- 01
Current-state assessment
What exists, what is used, and where the gaps are against your obligations and size.
- 02
Governance design
Board and committee structure, mandates, delegation and the reporting the board actually needs.
- 03
Risk and compliance frameworks
Appetite, taxonomy, assessment method, obligations register and the monitoring plan.
- 04
Policies, procedures and control matrices
Written for the people who operate them, with clear owners and evidence.
- 05
Embedding and handover
Training, first reporting cycle and a review point to adjust what does not work.
Typical phases
Indicative durations — set in your assessment.
01 Assess
02 Design
03 Implement
04 Review
Framework checklist · preview
- Board and committee mandates written and approved
- Risk appetite statement agreed by the board
- Obligations register covering every applicable regulation
- Key risk indicators reported to management monthly
- Policy owners and review dates assigned
- + the full checklist, shared after your assessment
Questions we are asked first
Straight answers, before the first meeting.
We already have policies. Why redesign?
Often we do not. We start by testing what is used in practice, keep what works and fix the links between documents, owners and evidence.
Do you follow a particular standard?
Risk frameworks are aligned with ISO 31000, and controls are mapped to the specific regulatory requirements that apply to you. The standard serves the obligations, not the other way round.
How big does the framework need to be?
Proportionate to your size, complexity and risk. A start-up and a group with several licences need different depth, and the regulator expects that difference.
Can you work with our existing compliance team?
Yes. Most engagements are joint: we bring the design and the method, your team owns and runs the result.