Policies and Procedures

Policies and procedures are not static documents or tick box exercises but the lifeline of any organisation. They are strategic tools that translate principles into actionable steps and reflect a firm’s risk appetite, business strategy and regulatory obligations. We can help you review and assess your policies and procedures to ensure they are fit for purpose and aligned with your true risk profile and operational reality, using AI enabled analysis where appropriate, and where necessary work with you to enhance them based on current practice and evolving regulatory requirements whilst tailoring them to your business.

Training and Education

The acquisition of knowledge and skills to deal with financial crime is imperative in the fight against it. We can work with you to design a robust AI enabled training and education programme; training relevant key personnel to ensure a thorough understanding of the financial crime risks and controls within your firm, incorporating role based learning, scenario based insights, continuous learning aligned to your business and risk profile, and ensuring awareness of regulatory expectations including AI bias monitoring.

Compliance Monitoring  

An effective compliance monitoring plan is iterative by design and evolves with the business, regulations and broader risk landscape. We can support you by using an AI enabled compliance monitoring programme which prioritises risk or trigger based reviews to identify and flag any issues, as well as horizon scanning to keep the ongoing monitoring programme updated with regulatory and emerging risks, supported by structured feedback loops from operational teams, assurance reviews, regulatory findings and incident analysis to ensure continuous improvement. 

Compliance Monitoring Framework 

We can help you build a modern, user friendly compliance monitoring programme (CMP) that is proportionate to the nature, scale and complexity of your firm and driven by risk appetite and your business wide risk assessment, incorporating AI enabled monitoring and analytics to strengthen oversight. This will ensure quality assurance of your regulated activities and identify weaknesses in controls, providing assurance that you are meeting your regulatory obligations. With hybrid and remote working now embedded, regulators expect clear evidence of effective oversight more than ever and we will help you design, implement and maintain a robust, technology enabled compliance monitoring programme. 

Compliance Function Design and Support

At Kharis & Knoble we help our clients meet their compliance needs. Our clients rely on us to provide tailored, AI enabled risk and compliance consultancy services and support in an ever evolving regulatory environment. We routinely fill the gap by solving client specific issues, assisting with changes in business structure and assessing the impact of new regulation on systems, policies and procedures. We bring the experience we have gained working with your peers and we will help you minimise time and resource burden, reduce regulatory friction and ensure compliance makes a positive contribution to your business growth.  

Challenge of GDPR Compliance 

At Kharis & Knoble we recognise that the General Data Protection Regulation has a horizontal effect across organisations and must be embedded across people, processes and systems rather than treated as a standalone legal exercise. Effective GDPR implementation programmes must address the interests and concerns of a wide range of internal and external stakeholders and be operationally integrated into day to day business activity.

We help organisations design and implement AI enabled GDPR compliance programmes that strengthen data governance, improve oversight and reduce regulatory risk through smarter, more efficient controls. In this respect, the establishment of a privacy programme requires serious commitment from key decision makers within your organisation.

Kharis & Knoble works with you to build scalable, technology enabled privacy frameworks that are aligned to your operating model and regulatory expectations.