Regulatory Audit Support

Hot Topic Regulatory Focus Areas

Financial Crime Remediation

As firms deal with regulatory focus on this high risk area, we have in-depth experience in how internal audit functions need to address the risks associated with regulatory remediation projects and focused reviews such as a s166.

We can advise on the role internal audit should play in supporting management, aligning remediation corrective action plans against key organisational goals and executing issue validation work which will meet regulators expectations.

Consumer Duty

Our comprehensive analysis and approach is designed to ensure your organisation meets and exceeds consumer duty obligations. We provide an in-depth analysis of your policies, procedures, and practices to safeguard consumer interests.

We focus on policy review and development, compliance audits, risk management, process improvement, training and education, and continuous monitoring to ensure robust consumer duty adherence.

ESG and Sustainability

We can support and advise on a comprehensive approach to auditing ESG (Environmental, Social, and Governance) and sustainability practices. We conduct thorough policy reviews and development to align your operations with the latest regulatory standards and best practices.

Our compliance audit approach meticulously verifies adherence to ESG and sustainability guidelines, while our risk management strategies identify and mitigate potential environmental and social risks.

Internal Audit Support

Our global Risk & Compliance experts collaborate with clients across industries to address regulatory challenges that demand timely and comprehensive responses. We focus on ensuring thorough resolutions, implementing remediation steps, validating issue closures, and building robust risk management frameworks.

Proactive response

To expedite the response to regulatory issues, we leverage our experienced internal audit professionals and proven methodologies. Our role is to enhance the development and execution of remediation strategies, including governance frameworks, tools, templates, and standards, resulting in effective outcomes.

Sustainable solutions

By focusing on regulatory relations and customer experience, we assist clients in managing regulatory issues with risk-managed, efficient approaches. Our goal is to help clients achieve successful resolutions through structured remediation programs that drive strategic results.