alex the compliance director
TRANSCRIPT
Meet Alex
He is a Compliance
Director
He took over this business
About 7 months ago and just after a Regulator’s visit
But he’s very unhappy
For many reasons …
There’s insufficient Resource
No-one in Compliance has worked in risk before
No-one has ever compiled a Risk &
Controls Log
X
X
X
There is no recent TCF assessment
As part of the remediation plan, Conduct Risk features high but there are no detailsThe budget is limited
X
X
X
Until he found
Making Compliance Work
They work on a project basis
They only use industry experienced consultants who can walk the walk
You deal direct with the owner
The Difference is
They work WITH you and not For You
All work is done under a Non-Disclosure Agreement
They all roll up their sleeves and get stuck in
The Difference is also
Now, he’s very happy
Because……
Alex doesn’t have to manage the work –Compliance Consultant project manage it all
It’s cheaper than the big 5
Existing staff are up-skilled
Regular Reports
Qualified consultants future-proofing the work
Experienced “Conduct Risk” specialists
embedding CR into existing risk framework
YOU CAN BE LIKE ALEX
FIND OUT MORE
https://www.facebook.com/ComplianceConsultant
Twitter.com/complianceconst
www. ComplianceConsultant.org
Call 0207 097 1434
Email: [email protected]