Services—Ongoing support
Ongoing risk & compliance support
After the licence, the work becomes routine — and the routine is what inspectors test. We provide the capacity and the method until your team is in place, and alongside it afterwards.
Who this is for
- Newly licensed firms still hiring their risk and compliance team
- Lean teams that need specialist support for monitoring and testing
- Firms preparing for a regulatory inspection
- Boards that want independent review of risk and compliance
What support covers
The routine that keeps a licence in good standing.
| Area | What it is | What we provide |
|---|---|---|
| Interim risk and compliance | Capacity while the permanent team is built | Part-time support to run the compliance and risk routine |
| Monitoring and testing | Checking that controls work as designed | Testing plan, sample testing, findings and follow-up |
| Inspection readiness | Preparation before the regulator visits | Mock review, evidence pack, briefing for key persons |
| Regulatory change | New rules and amendments that affect you | Change tracking, impact assessment, update plan |
| Board and committee reporting | What the board needs to see | Report design and periodic risk and compliance reports |
| Training | Staff who know their obligations | Role-based training on AML/CFT, conduct, PDPA and policies |
The compliance year
A rhythm you can plan, not a scramble before inspection.
Q1
Q2
Q3
Q4
Compliance monitoringMonthly
Control testingQuarterly
Board risk & compliance reportQuarterly
Regulatory change trackingContinuous
Framework review and trainingAnnual
- Monthly check
- Quarterly test or report
- Annual review
- Continuous
What we deliver
A compliance routine that runs every month, not every inspection.
- 01
Compliance calendar
Every recurring obligation, owner and deadline in one plan.
- 02
Monitoring and testing programme
Risk-based testing with findings tracked to closure.
- 03
Regulatory change log
New requirements assessed for impact, with an update plan.
- 04
Management and board reports
Periodic reporting on risk, compliance status and open issues.
- 05
Inspection readiness pack
Evidence, explanations and key-person briefings prepared in advance.
Typical rhythm
A cycle you can plan around.
Onboard
MonitorMonthly
TestQuarterly
ReportQuarterly
Health check · preview
- Compliance calendar covers every recurring report and filing
- Last control testing cycle completed and findings closed
- Regulatory changes of the past year assessed for impact
- Board received a risk and compliance report this quarter
- Staff training records up to date
- + the full checklist, shared after your assessment
Questions we are asked first
Straight answers, before the first meeting.
Can you act as our compliance officer?
Responsibilities that regulation assigns to your own staff remain yours. We support the people in those roles and run the routine alongside them until your team is complete.
How is support priced?
Usually as a monthly retainer sized to your licence and volume, agreed after a short assessment.
How do you prepare us for an inspection?
We run a mock review against the areas the regulator is likely to examine, build the evidence pack and brief the people who will be interviewed.
Can we start with a one-off review?
Yes. A health check is a common starting point and shows where ongoing support is worth it.