It is therefore crucial that you demonstrate to your regulators that you have performed the following:
Independent Compliance Audit
Within laws, rules, and regulations, one of the focal points is the independence in the assessments of the comprehensiveness and effectiveness of the Compliance Framework and Programme.
- Undertaken Independent Assessments
- Identified Gaps and Deficiencies
- Followed up on and Implemented any Recommended Actions to Address Gaps and Deficiencies
Abler’s dedicated team of experienced compliance auditors can carry out critical audit exercises to meet the above objectives. The aim is to assess the effectiveness of the following:
- Current Policies, Procedures and Systems & Controls
- Compliance & Risk Management Framework
- Ongoing compliance Monitoring Programme
- Client Onboarding, Relationships & Transaction Monitoring, Risk Escalation and Remediation
- Business and Client Risk assessment
Our Services
Areas of Practice
Independent
Compliance Audit
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Compliance Advisory
and Support
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Manuals, Policies and
Procedures
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Business Risk
Assessment
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Training
and E-Learning
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Fraud
Investigation
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Enchanced
Due Diligence
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KYC Remediation
Service
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Client Risk Assessment
Solutions
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Virtual Asset Compliance
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