Compliance & Risk

Independent advice, extensive experience.

We provide a comprehensive range of services to meet the requirements of businesses operating in the regulated financial services industry.

We provide assistance, support, review, evaluations and design solutions, all with an independent, commercial and practical focus.


Advisory Services Guernsey Compliance Team

Our services include

  • Independent evaluation of the Financial Crime and Compliance team to provide Board oversight
  • Assistance with regulatory visits including preparation, pre-visit reviews and any remediation required
  • Design or overview of the Compliance Monitoring Plan
  • Provision of nominated roles including Compliance Officer, Money Laundering Compliance Officer (MLCO), Money Laundering Reporting Officer (MLRO) and Data Protection Officer
  • Tailored inhouse training on a wide variety of topics including Enhanced AML/CFT training for the Board and Senior Management
  • Design or review of policies, procedures and controls
  • Design of client risk assessments
  • Independent sample testing of on-boarding, periodic and event drive reviews
  • Review of the suspicious activity reports
  • Implementation of new or revised regulatory requirements
  • Review of outsourcing and procurement activities
  • Mentoring and training for newly appointed persons holding nominated roles

Our ESG/Sustainability Services include:

  • Advice on green fund applications
  • Advice on assessing climate risk to meet the corporate governance code
  • Training on the local 'green' regulatory landscape
  • Assistance with developing a sustainability road map