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Registered in England and Wales
No. 04704560

The recent financial crisis has caused a significant increase in Regulation and Regulatory oversight.
The previous 'light touch' approach has ended and violations are being severely and publicly punished.

We have been working with clients to overhaul their compliance functions to improve effectiveness and efficiency. Below is an outline of our expertise of implementing change within the compliance function

  1. Risk Assessment

    • Development and implementation of an integrated risk assessment methodolgy

    • Identification, grading and prioritisation of risks

    • Assessment of control environment

    • Risk appetite

  2. Policy Development

    • Clarify policies framework vs. regulatory requirements

    • Determine the optimal match of risks to policies

  3. Implementation of Policy

    • Individual projects requiring significant communication and culture change

    • eg Personal Account Dealing

  4. Training

    • Identifying the needs of different audiences [stratification]

    • Requirements for Registered persons and Significant Influence Functions

  5. Anti Bribery and Corruption - ABC

    • Determining what constitutes a proactive approach for the organisation

    • Assesment of each potential form of bribery and corruption

    • Collaboration with Finance department to determine existing controls and design additional controls to fill gaps

  6. Conflicts of Interest

    • Personal account dealing

    • Restricted lists

    • Gifts and entertainment

    • Walls and wall crossings

  7. Regulator Relations

    • Developing a consistent corporate message

    • Message dissemination

    • Record keeping of meetings, phone calls and interviews