Compliance: Financial Services Compliance

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Financial Services Compliance

Our Regulatory and Compliance practice provides a comprehensive suite of solutions to help organizations comply with the relevant regulatory requirements within their business and industry in an effective and cost-efficient manner. Our proven methodologies focus on implementing a suitable level of processes, controls and practices to fit for your organization. Our experience provides the right level of insight to effectively interact with regulatory authorities and to determine the necessary actions to properly remediate outstanding compliance issues.

At GarryMichael, our professionals bring significant financial service experience in Compliance, Risk Management, and Internal Audit and can help you:

  • Perform internal audits of compliance programs incorporating operational processes
  • Provide industry perspectives and methodologies
  • Perform compliance risk assessments and enhance existing risk assessments
  • Perform GAP analysis including governance, operations and reporting related to the Compliance function
  • Provide Remediation assistance with regulatory issues
  • Provide training to enhance your understanding of applicable regulatory and legal requirements
  • Develop written policies and procedures