Regulatory Inspection, Enforcement and Remediation Related Assistance
Sometimes a little help is needed
At Aniva Consulting we understand that sometimes despite all your efforts, things may not always go as expected and the regulator may request information, or conduct an inquiry, audit or investigation into a particular client or the processes or procedures of your firm.
Our experts will guide your approach and provide solutions
Our Payments, AML/CFT and Regulatory Compliance experts are experienced consultants in the financial crime and anti-money laundering compliance fields are able to support your firm by performing a client file review, transactional monitoring on private and institutional clients and other support services including acting as an independent consultant or as an independent project manager.
Our team of experts are also able to assist with remediation by evaluating from a top-down approach existing supervisory structures, processes and controls within your Payments Systems, AML/CFT and Regulatory Compliance departments and as identified by the regulator. Following which, we will identify gaps, provide specific solutions and conduct an audit over a course of a term to ensure the corrective action plan is effectively being implemented and that the compliance program is sustainable, consistent and compliant with the regulator’s expectations and industry standards.
Our wide-ranging assistance
For firms facing or undergoing an investigation, inquiry, show cause or enforcement by a regulatory authority, our specialists are readily available to patiently assist you through this challenging period. We have a wide range of assistance available, including:
- acting as independent project manager;
- creating a review committee;
- reviewing the errors identified by the regulator;
- conducting a gap analysis;
- providing solutions to remedy the gap;
- revising processes and provide procedures which are compliant with local regulators requirements and that of the regulator providing the license;
- assisting with preparation of the response to the relevant regulatory authorities;
- assisting with obtaining and liaising with legal professional in preparation of the response to the regulatory authorities;
- conducting training for management and staff; and
- assisting client to continue providing business as usual while under investigation, where applicable.
Contact us if you need assistance with a response to a regulator or to identify gaps and improve current processes and controls in your payments systems, AML/CFT or regulatory compliance teams.