Compliance support

Jersey is a leading regulatory landscape that is evolving quickly and constantly.

Appleby Regulatory Consulting’s experts have been at the leading edge, helping clients implement the myriad of legislative and regulatory developments in Jersey and can help you prepare not just for what your business needs to do today, but for what is likely to come tomorrow.

  • Horizon scanning and legal and regulatory change impact assessment
  • Interim compliance support and recruitment assistance
  • Preparation for regulatory visits

Frameworks

Strong foundations lead to compliant businesses and efficient risk management.  Appleby Regulatory Consulting has a wealth of experience designing  bespoke and adapting existing client tools to meet create seamless risks management infrastructure.

Appleby Regulatory Consulting can assist in in identifying, assessing and putting in proportionate solutions in place to mitigate, manage and report on risk exposures.

  • Risk management framework design
  • Risk appetite
  • Risk assessments (inc BRA)
  • Risk strategy
  • MI and reporting
  • Registers and reporting forms
  • Policy and procedure mapping, review and or writing

Monitoring and Assurance

Relevant financial businesses are required to maintain and adhere to adequate and effective compliance and anti-financial crime policies and procedures.

Appleby Regulatory Consulting can help you with mapping your existing suite of policies and procedures, prepare tailored policies to meet your business needs, or review existing policies and procedures to ensure that they meet current requirements. In addition to ensuring that the right policies are in place, we can assist with an audit and gap analysis, to ensure that systems and processes are actually meeting the needs of your business.

  • Compliance monitoring programme design
  • Compliance monitoring programme execution and reporting
  • Thematic and targeted assurance testing on areas of concern
  • Assurance testing of embedding and effectiveness of change
  • Compliance function effectiveness assessments
  • MLRO/MLCO function effectiveness assessments

Regulatory Remediation

No business wants to operate in a non compliant manner, its stressful and costly.

Appleby Regulatory Consulting’s team of specialists have dealt with an extensive array of remediation projects whether spanning a global business footprint to just getting things back on track.  They find cost effective, robust solutions after getting to the root of the problem.

  • Regulatory compliance reports
  • Remediation programme delivery and support
  • File review and CDD/EDD updating

Governance

An effective board is key to the success of any organisation, driving performance as well as compliance is essential.  Creating the right environment  and dynamics  to deliver through clear strategic leadership and insightful and constructive challenge are at the heart of effectiveness.

Reviewing Governance frameworks, including decision-making and delegation, can be extremely insightful and support strong, seamless compliance. In addition, periodic Board Effectiveness Reviews can be powerful tools in enhancing board functioning and effectiveness; setting the board, and ultimately the organisation, up for success.

  • Board effectiveness assessments
  • Governance reviews
  • Terms of reference scoping and drafting
  • Boarding reporting and MI

Training

Appleby Regulatory Consulting can support your business understanding its obligations and meeting your compliance and anti financial crime training needs.

We provide training to your staff and directors whether, its computer based solution, face to face or a programme of seminars we can help bring greater understanding leading to better risk management and compliance to your business.

  • Financial crime training (annual and topic specific)
  • Compliance training

Conduct

Conduct risk is not a new concept but it is growing in focus.  If executed well can deliver a real business benefit and support, customer friendly, compliant business growth

At Appleby Regulatory Consulting we have deep experience in designing and supporting the implementation of conduct frameworks. Working with numerous business stakeholders to support tangible change. We can also assist with identifying data points to help you assess and demonstrate compliance with sound business practices

  • End to end framework design
  • Culture assessments
  • Tool implementation
  • Date, metrics, reporting
  • Training and communication
Key contacts

James Gaudin

Managing Partner: Jersey

T +44 (0)1534 818 337
E Email James

Andrew Weaver

Partner: Jersey

T +44 (0)1534 818 230
E Email Andrew

Nadia Lewis

Head of Regulatory Consulting: Jersey

T +44 (0) 1534 763 006
E Email Nadia

Kristie Potts

Chief Strategy Officer: Jersey

T +441534818019
E Email Kristie

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