Financial Crime
Compliance Advisory Services

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Audits

AML Assessments

We offer a thorough evaluation of your compliance with Anti-Money Laundering regulations, identifying gaps in your policies, procedures and systems, and providing clear, actionable insights to strengthen your compliance framework. Tailored to meet industry standards and best practices, our service safeguards your institution from financial crime, while building trust with regulators and stakeholders. With multijurisdictional expertise across diverse industries, our team combines in-depth regulatory knowledge with practical market insights to deliver customised solutions that meet the unique needs of your organisation.

Our Aim

From AML Assessments to Regulatory Responses and Compliance Retainer Services, we deliver customized solutions to help you stay compliant, mitigate risks and protect your organisation from financial crime.

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Regulatory Responses

Regulatory Response Services

Supporting you in the effective management of interactions with regulatory authorities, we help organisations prepare timely, accurate responses to inquiries, audits and enforcement actions. Leveraging our in-depth industry knowledge and regulatory expertise, we provide strategic guidance to help you address compliance concerns, mitigate risks and maintain strong relationships with regulators.

What we offer:

Failure Assessment and Gap Analysis:

We identify the root causes of compliance breakdowns and uncover gaps in policies, procedures, controls and governance that require remediation.

Remediation Design Plans and Implementation:

We help you address regulatory compliance failures, designing and implementing effective remediation plans tailored to resolve regulatory findings.

Post Implementation Evaluation:

We assess the effectiveness of changes implemented following the completion of a remediation action plan. Our goal is to ensure sustained compliance, prevent recurring failures and prepare for future regulatory inspections with confidence.

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Retainer Services

Customised Compliance Retainer Services

We provide regulated firms with tailored support to meet their unique needs. Acting as an extension of your internal team, we ensure your compliance processes are efficient, effective and sustainable long-term. At ReguTech, one size definitely does not fit all. Instead, we focus on building strong relationships, gaining a deep understanding of your business and offering the compliance services you need – nothing more, nothing less.

Our retainer services are designed collaboratively with each client, ensuring a plan that fits your specific needs and priorities. Let us simplify your compliance, reduce risks and strengthen your regulatory practices.

Retainer Services

Key Features

Tailored Support

Customised solutions that align with your business model and regulatory requirements, minimising disruption

Cost-Effective Packages

Fixed-fee services for clarity and predictability in your compliance budget

Comprehensive Assistance

Full regulatory support, including filings and compliance programme documentation

Action Plans and Scope of Work

Practical compliance checklists to keep your team on track throughout the year.

AML Compliance Programme

Assessments & Control Reviews

Thorough Evaluation

We review your organisation’s AML framework, evaluating the effectiveness of policies, procedures and controls to identify gaps and ensure alignment with regulatory standards. Our actionable recommendations strengthen your compliance and mitigate financial crime risks.

Unique Set-Up and Approach

With extensive experience across diverse industries in Europe and the Middle East, our AML assessments provide a seamless service with no disruptions. Our practical approach is tailored to your needs, offering fresh insights and ensuring compliance with minimal surprises. Having worked with numerous Financial Institutions (Fis) and authorities, we’re confident in delivering best-in-class services to help you overcome any challenges and prepare for regulatory inspections.
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Enterprise-Wide Risk
Assessment (EWRA) Consulting

We identify, assess and manage risks across all operations, taking a structured, comprehensive approach to evaluate financial crime, operational and regulatory risks. This ensures compliance with industry standards and regulatory expectations. Our tailored recommendations empower businesses to strengthen risk management frameworks and enhance overall compliance. At ReguTech, we are well-positioned to help you understand your vulnerabilities and risks across diverse jurisdictions, particularly for businesses operating across multiple regions or holding licenses in different countries.
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Discover EWRA

Key Benefits

Improved Risk Identification

Gain a comprehensive overview of Money Laundering (ML) and Terrorist Financing (TF) risks across all operations, products, services and geographies, allowing you to allocate resources effectively and implement targeted controls to mitigate risks.

Regulatory Compliance

A well-executed EWRA demonstrates your understanding of ML/TF risks, ensuring compliance with relevant legislation and reducing the risk of penalties during regulatory audits.

Informed Decision-Making

Insights from the EWRA enable senior management and stakeholders to make data-driven decisions on risk management, customer relationships and product offerings.

Strategic Alignment

EWRA helps align your risk appetite with strategic goals, ensuring your business model and products are not exposed to unnecessary risk.

Qualitative and Quantitative Analysis

Combining qualitative insights with quantitative data, we provide a balanced, thorough approach to risk assessment.

Reputation Protection

Proactive risk management protects your reputation and builds customer trust by demonstrating a commitment to safeguarding against financial crime.

Ongoing Monitoring

EWRA is a dynamic, continuous process, regularly updated to address new threats, regulatory changes and evolving business conditions.

Empowered Teams

Our insights empower employees, particularly department heads, to secure resources and manage identified risks effectively.

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KYC

Know Your Customer (KYC) Consulting

We help businesses establish and maintain strong customer due diligence (CDD) processes. Specialising in designing, implementing and optimising KYC frameworks, we ensure compliance, improve operational efficiency and protect you from financial crime. Whether managing Simplified Due Diligence (SDD) for low-risk clients or Enhanced Due Diligence (EDD) for high-risk clients, PEPs, or UHNWIs, we provide customised solutions that streamline customer onboarding.

Reviews and Investigations

Transaction Reviews and Investigation Services

We enable you to detect and address suspicious activities in financial transactions. Using advanced tools, we analyse transaction patterns and identify risks like money laundering, fraud and compliance violations. From routine monitoring to in-depth investigations, our tailored solutions ensure your organisation stays protected and compliant.
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Policies & Procedures
Development

We create tailored policies and procedures that align with your business operations and regulatory needs. Our focus is on ensuring effective compliance, crafting policies that are clear, purposeful and easy to audit. We deliver customised solutions including a comprehensive suite or specific documents. Additionally, we review existing policies to ensure they are fit for purpose and aligned with your operational goals.
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Policies & Procedures Development

We can Assist You With

AML & Compliance
Manual

Compliance Monitoring Programme

Sanctions
Policy

Risk-Based Approach Methodology

Enterprise-Wide Risk Assessment (EWAR) Process

KYC & CDD
Processes

Anti-Bribery and
Corruption Policy

Code of
Ethics

Third Party Vendor Assessment Policy