We provide a "one-stop" integrated service around these 3 pillars
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OPERATIONSBack Office | Middle Office | Reporting | Migration Support | Processes Review & Documentation
Skills, Expertise and Experience covering a wide range of operations: our team can act at different places in private companies, actors of public sector and fund industry.
Back Office
- Day to day activities
- General, SPV and Fund accounting…
- Reconciliation
- Fiscal declaration (VAT, Tax income, …)
- Company Secretary
- Technical improvements
Middle Office- Control & Oversight
- KPI’s
- Reconciliation
- Transactions monitoring
Reporting- Financial (Annual accounts, investors, consolidation, …)
- Regulatory (Transaction Cost, Mifid, Priips, CSSF, BCL, …)
- Management reports
Migration Support- Consistency controls
- Parallel run
- EASE the link between Developers & Business
- Data analysis and remediation
Processes review and documentation- System, Business and Gap analyses
- Procedure & workflow documentation
- Users training
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COMPLIANCEAML / CTF / KYC | Regulatory including MIFID II/MIFIR, EMIR, NIS, GDPR
- Preparation of policies and procedures on client acceptance and KYC, AML, CTF, code of ethics, data protection, customer risks assessment, conflicts of interests, complaints handling, remuneration, professional secrecy and clean desk, whistle blowing, FATCA and CRS;
- Advise on compliance regulatory requirements;
- Preparation of informative materials for customers and management board on compliance regulations;
- Assistance and advise on Compliance matters related with external audit or audit from market regulator;
- Support on technical compliance questions;
- Preparation of compliance monitoring systems;
- Preparation of template documents for compliance use;
- Assist in interviews for recruiting permanent Compliance sector employees;
- Prepare training materials and provide training on compliance and regulatory matters;
- KYC Periodic reviews and analysis;
- Monitoring of transactions;
- Preparation on FATCA and CRS classification analysis and due diligences;
- Project coordination on KYC backlog reduction.
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RISKEnterprise Risk Management | IT Internal Audit Assitance | Processes Review & Documentation
Framework Definition & Implementation
- Implementation of a comprehensive risk management framework covering business, financial as well as IT risks
- Set up an internal control framework
- Implementation and maintenance of an operational internal control tool with integrated automatic reporting
- Implement a maintainable procedure documentation framework
- Assist in producing the CSSF Reports (RAR & RD) in compliance with circular 12/544
IT Internal Audit Assistance- BCP Review and testing, IT and business scenarios, coordination with providers and clients
- Development of specific tools for fraud investigation, review data sources used for AML transaction monitoring
- IT application review (infrastructure, access, integrity…)
- Risk assessment for in-house software deployment
Process Review and Documentation
- Purchasing and invoicing cycle, Call center assessment
- Review the controls on automated reports for integrity and coherency
- Review the Identity Access Management and the related actual segregation of duties
