Consulting
Strategi has a range of consulting services to meet the needs of any sized business. Our services range from one-off engagements such as assisting with remediation to monthly services such as our virtual compliance officer, where we take away the pain of compliance and do the compliance work for you.
Strategi offers practical, cost effective AML/CFT audit and consulting services to suit businesses of any size. Our services include three yearly audits and AML/CFT Quick Check review (mini audits) plus Risk Assessment and AML/CFT Programme reviews, staff training and remediation advice.
We cover all your AML/CFT needs.
A robust AML/CFT compliance framework starts with clear, practical policies. Strategi helps businesses draft and maintain AML/CFT policies and procedures aligned with the AML Act and AML supervisor expectations.
Our services include:
- Risk-based approach to policy creation.
- Clear internal procedures for monitoring, reporting, and escalation.
- Guidance on implementing internal controls such as audit trails and segregation of duties.
- Regular policy reviews to reflect regulatory or operational changes.
- Comprehensive AML/CFT manual that provides self-help guidance regarding your AML/CFT obligations, plus templates and suggested wording if you are wanting to draft your Risk Assessment and AML/CFT Programme yourself
Effective due diligence reduces the risk of unknowingly facilitating financial crime. Strategi works with you to strengthen CDD and EDD processes by:
- Enhancing identity verification and onboarding processes.
- Implementing screening tools for PEPs and sanctions.
- Establishing real-time transaction monitoring protocols.
- Supporting continuous monitoring to detect risk changes over time.
Strategi’s Virtual Compliance Officer (VCO) is ideal for financial advice provider (FAP) businesses requiring pro-active compliance risk management, but who don’t have their own compliance officer/department.
Give yourself peace of mind and expert advice.
Businesses evolve and sometimes your FMCA licences need to be amended or improved due to FMA feedback, findings from compliance reviews and audits, regulatory changes, new regulator guidance notes, or material changes that the business wants to make to reflect a new business initiative.
Other compliance services
Strategi have a range of services to support the financial services sector, including:
- AML/CFT audits
- AML/CFT Quick Check service
- Risk assessment and AML/CFT programme review
- Licensing (FAP, DIMS, MIS, DI)
- Documents for setting up and running a finance company
- Website reviews
- Specific training and ongoing support of licensee compliance managers
- Development and maintenance of a training programme for licensee directors, managers, and staff
- An annual board report on the compliance status of the business, plus if necessary a remediation plan, a report on what additional risks need to be considered and how these can be mitigated, and the changes that have occurred to the regulatory environment in which the business operates
- Development and annual review of the business risk management framework
- Development and annual review of the governance framework
- Provision of classroom and electronic refresher training of licence obligations to ensure directors, managers and staff have the knowledge competency and skill to perform their roles
- External reviews relating to how a business is meeting the suitability requirements and ensuring that client’s interests are placed first
- Development of client facing documents such as Disclosure Statements
- Provision of policy document templates such as the operations manual, health and safety manual
Contact the Strategi Compliance team to discuss your requirements.
Need help finding the right solution?
Contact the strategi Compliance team to discuss your needs