Compliance Services

We highlight the weaknesses in systems and controls

Compliance can be burdensome and today’s organisations face unprecedented challenges in managing risk and adhering to complex regulations even with mature in-house compliance team. The cost of non-compliance can be the loss of an entire enterprise.

Our regulatory and compliance services ensure you meet both your local and global regulatory needs and provide tailored support to keep you informed of the evolving regulatory requirements impacting your business.

Our experts have cultural, industry and regulatory backgrounds and are uniquely placed to provide you with the confidence that your ongoing regulatory obligations will be met to a high professional and international standard. We will help you develop, implement, and uphold an effective regulatory compliance program to maintain your reputation and maximise investments and profits.

With retainer service contracts individually tailored to your business we offer an agreed service delivery and schedule. Having worked in the financial services for years, our experts understand your compliance challenges and opportunities. They share their backgrounds and knowledge to solve challenging and difficult problems.

We maintain a professional reputation

Here is how we can help

Policies and Procedures

Policies and procedures are the lifeline of any organisation. We can help you review and assess your policies and procedures to ensure they are fit for purpose, and, if necessary, work with you to enhance them based on current practice in line with regulatory requirement and expectation, whilst tailoring it 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 training and education programme; training relevant key personnel to ensure a thorough understanding of the financial crime risks and controls within your firm.

Compliance Monitoring

We can carry out your ongoing monitoring including ongoing screening and periodic or trigger review and flag any issues. We will also do horizon scans and keep the ongoing monitoring programme updated with regulatory changes, so you know you have ongoing compliance monitoring under control.

Compliance Monitoring Framework

We can help you build an effective 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. This will ensure quality assurance of your regulated activities and highlight weaknesses in controls thereby providing comfort that you are meeting your regulatory obligations. With more and more employees working from home, being able evidence effective compliance oversight is more important to the regulators than ever and we will help you establish, maintain and carry out an effective 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 them with tailored 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 the effect and 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 your time and resources, reduce your regulatory burden and make sure compliance makes a positive contribution to your business growth.

Challenge of GDPR Compliance

At Kharis & Knoble we understand the General Data Protection Regulation has horizontal effect across organisations. General Data Protection Regulation implementation programmes, therefore, should address the interests and concerns of a wide range of internal and external stakeholders. In this respect, the establishment of a privacy programme requires serious consideration and commitment from key decision makers within your organisation. Kharis & Knoble can work with you to develop and implement General Data Protection Regulation programmes.

Whether you need help with a specific area or ongoing support with compliance services, Kharis & Knoble can help. Speak to one of our experts today! Contact us