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Compliance and Due Diligence

Support for compliance reviews and due diligence

Help completing reviews, addressing documentation gaps and managing compliance projects. Services are available directly to organizations or through consulting firms that need additional project support.

Discuss your scope

Ways to engage

Directly with organizationsSupport for a specific project or recurring compliance activities.

Through consulting firmsFor consulting firms that need additional project support.

Three categories of compliance support

AML and KYC support

Project and ongoing support for customer reviews, documentation and financial crime compliance processes.

  • Know your customer reviews
  • Customer due diligence and enhanced due diligence
  • Customer information and supporting-document review
  • Ownership and business-background research
  • Sanctions screening and adverse information reviews
  • Transaction-monitoring review support
  • Case documentation and escalation support
  • Quality assurance and file remediation

Compliance operations and remediation

Help completing compliance activities and following through on identified gaps.

  • Compliance monitoring and control testing support
  • Policies and procedures review and updates
  • Compliance risk assessment support
  • Records review for completeness and consistency
  • Issue tracking and remediation follow-up
  • Evidence collection and organization
  • Examination and audit preparation support
  • Short-term project and backlog support

Third-party and counterparty due diligence

Research and review to help organizations assess the businesses and individuals they work with.

  • Third-party and counterparty background research
  • Ownership and business-activity reviews
  • Reputational risk and adverse information research
  • Supporting-document review and findings summaries
  • Follow-up tracking and records maintenance

Tell us about the scope, deadlines and support your team needs.

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