Compliance support for financial institutions, family offices
Whether you are looking to permanently outsource or temporarily replace your in-house functions or require support on specific projects, reviews, or the creation of templates I’m here to offer my expertise.
You are short of staff to perform a specific review, project, or handle new account openings in a timely manner without increasing the number of long-term employees?
You want to improve the quality and level of your KYC files and related documents?
Your online systems have identified matches that require further investigations?
Examples of specific services offered:
AML due diligence duties: whether you are looking for onsite or offsite services, I can assist you to perform due diligence with your own instruments or, I can assist with our own tools.
New Clients onboarding: we can assist you with the opening process by taking into consideration your own internal guidelines and AML parameters. If required, I can suggest to your Management appropriate recommendations in regards to your new prospects and clients who wish to open an account with you.
KYC (know your customer): I can provide assistance to your relationship managers in completing the KYC, and provide an assessment as to whether or not the KYC is compliant. I provide full KYT (know your transactions) reviews and give advice to your relationship managers in obtaining appropriate corroborative documents as well as making sure that adequate documentation and information are available on file.