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The financial industry has seen an increasing pressure for regulatory compliance as financial crime risk becomes more complex, with increasing levels of connectivity and globalization.  Moreover, the threat of fines and penalties in recent years has added to the pressure to set the right compliance program.  If you operate as a small team, you may not have a robust compliance team with the resources or internal capabilities to efficiently screen clients and monitor transactions.  Moreover, you may be exposed to global transactions that get recorded across siloed systems within your institution, which makes it difficult to detect suspicious activity.  If you’re part of a smaller institution or have a regional focus, you may also need some help to tackle AML/KYC challenges and remain up to speed with regulatory requirements.  Regardless, we can deliver a holistic risk-based approach through customized subject matter advisory and complementing technology tailored to meet your needs.  We can help you set the right safeguards, so you can easily enjoy the benefits of:

• A stamp of legitimacy to your project or endeavor and its participants, to be shown to regulators and banks

• Avoiding the headache of being investigated by authorities

• Reaching a larger global audience with the right controls in place

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Banking Services

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We help smaller banks deal with customers who may have risky profiles and less robust credit histories.  Whether you are a savings bank with regional state branches, or a community bank focusing on small business and personal banking, you may not the internal staff or resources to devote to a full-fledged compliance program spanning across industries and geographies.  You may have also outsourced your risk management programs in their entirety.  Our subject matter expertise can step in to set internal procedures for you to follow in order to remain compliant and in control of your financial crime risk mitigation efforts.  We can also complement this service with next-generation regulatory technologies to screen customers and monitor transactions.  Whatever your major financial crime risks concerns may be, we can set the right strategies for you to remain compliant and stay out of trouble for the long run.

 

Investments

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We help investment firms follow compliant procedures and adopt next-generation tools to help them tackle financial crime risks in an increasingly complex environment where connectivity, globalization, and increased levels of anonymity require extra layers of caution.  If you are a private equity firm, a venture capital firm, or a family office, you may operate with a small team and may not have the internal staff to establish a robust compliance strategy.  You may be concerned to screen your investment prospects thoroughly, and you may find that your internal systems aren’t as effective as next-generation technologies.  Whether you focus on alternative investments, tech startups, or more traditional industry verticals, our enhanced due diligence and reporting services for companies and individuals can ensure you are doing business with legitimate entities.  We can help you identify the right tools, as well as deliver remedial subject matter expert advisory services to fill gaps in internal capabilities. 

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Money Transfer/Remittance Providers

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We help money transfer businesses stay safe for their users and mitigate the risk of being used for illegitimate purposes.  You are likely exposed to particular risks because of your international operations, especially in emerging markets, where there may be increased difficulties in tracing the source of client funds being transferred across countries and currencies.  We can help you manage your geographic and industry risk exposure, with strategies tailored to the nature of your operations.  You may be serving customers who send funds across countries, or companies managing cross-border payments.  You may operate prepaid card systems, a mobile app, or also provide complementary spending and foreign exchange services.  Our subject matter advisory can help you delineate programs for an overall risk-based approach, with adequate procedures to keep you out of trouble and regulatory scrutiny.  We can add regtech tools to monitor fund flows, as well as screen individuals and businesses, so you cover all your bases in terms of financial crime risk.

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