RockFin Consulting supports you in building a solid foundation for your business to operate in all confidence and to prepare for growth. Our team of professionals will accompany your business in setting up comprehensive processes and procedures. We also conduct audits and our training programmes are customised to help your organisation build the capacity it requires to achieve its business ambitions.
Designing Policies & Procedures
- Compliance Manual
- Business Continuity Plan
- Code of Conduct & Ethics
- Disaster Recovery Plan
- Anti-Money Laundering and KYC Policy & Procedures
- Risk Management Policy
- Designing risk-based approach monitoring program
AML/CFT Independent Audit
Review of the following policies and procedures:
- Client onboarding;
- Customer Due Diligence, encompassing standard, reduced and enhanced level;
- Politically Exposed Persons;
- Client risk-assessment;
- Client transaction-monitoring;
- Client reviews;
- Suspicious-transaction monitoring;
- Record keeping;
- Relevant recruitment procedures and training.
Preparation of the following after the exercise:
- A walk-through test of a sample of clients against the relevant procedures;
- A gap-analysis report following review of policies and procedures.
- Provision of report