Operational Governance
Compliance Operating Model
For PSP · EMI · CASP · FinTech
A structured documentation package designed to establish a clear operating model for compliance functions, defining governance arrangements, responsibilities and interaction across business functions.
The package supports organisations seeking to formalise compliance operations through documented governance structures, reporting lines and functional responsibilities.
It complements existing AML/CFT documentation frameworks and does not replace regulated compliance functions or operational management activities.
Areas covered
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Compliance Governance Structure
Preparation of documentation defining the organisational structure, reporting lines and governance arrangements for the compliance function.
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Roles & Responsibilities
Documentation establishing responsibilities across Compliance, Operations, Senior Management and supporting control functions.
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Compliance Operating Procedures
Development of documentation describing core compliance activities, decision-making principles and internal workflows.
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Management Reporting Framework
Preparation of documentation supporting compliance reporting, governance oversight and management information flows.
Delivery
Approximately 3–4 weeks following completion of the intake questionnaire.
Format
Word / PDF
Written delivery only
Fee
Upon request
Internal Control Framework
For PSP · EMI · CASP · FinTech
A structured documentation package designed to establish an internal control framework supporting governance, operational oversight and compliance monitoring.
The package supports organisations documenting internal control activities, segregation of duties and control ownership across business functions.
It complements existing governance documentation and does not replace internal audit, compliance monitoring or operational control activities.
Areas covered
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Control Framework Documentation
Preparation of documentation describing key internal controls supporting governance and regulatory compliance.
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Control Ownership
Documentation defining control responsibilities, ownership and accountability across operational functions.
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Segregation of Duties
Development of documentation supporting role separation, approval authorities and control independence.
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Control Monitoring
Preparation of documentation supporting periodic control reviews, monitoring activities and governance reporting.
Delivery
Approximately 3–4 weeks following completion of the intake questionnaire.
Format
Word / PDF
Written delivery only
Fee
Upon request
Outsourcing Governance Framework
For PSP · EMI · CASP · FinTech
A structured documentation package designed to establish governance arrangements for outsourced activities, third-party service providers and critical operational functions.
The package supports organisations documenting oversight responsibilities, outsourcing controls and governance arrangements throughout the outsourcing lifecycle.
It complements existing operational and risk management documentation and does not replace vendor due diligence or contractual negotiations.
Areas covered
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Outsourcing Governance
Preparation of documentation governing outsourcing principles, oversight responsibilities and governance arrangements.
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Critical Service Provider Classification
Documentation supporting the identification and governance of critical or important outsourced functions.
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Third-Party Oversight
Development of documentation describing monitoring arrangements, performance oversight and governance reporting.
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Exit & Continuity Planning
Preparation of documentation supporting transition planning, service continuity and outsourcing exit arrangements.
Delivery
Approximately 3–4 weeks following completion of the intake questionnaire.
Format
Word / PDF
Written delivery only
Fee
Upon request
Risk Governance Documentation
For PSP · EMI · CASP · FinTech
A structured documentation package designed to establish governance documentation supporting enterprise-wide risk management and organisational oversight.
The package supports organisations formalising risk governance responsibilities, reporting structures and documented risk management principles.
It complements existing AML/CFT and operational risk documentation and does not replace risk assessments or day-to-day risk management activities.
Areas covered
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Risk Governance Framework
Preparation of documentation defining governance arrangements, oversight responsibilities and risk ownership.
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Risk Appetite Documentation
Development of documentation supporting risk appetite principles, governance objectives and decision-making criteria.
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Risk Reporting Structure
Documentation defining risk reporting arrangements, governance committees and escalation pathways.
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Governance Documentation Alignment
Preparation of documentation ensuring consistency across governance, operational and compliance documentation.
Delivery
Approximately 3–4 weeks following completion of the intake questionnaire.
Format
Word / PDF
Written delivery only
Fee
Upon request
Board Governance Documentation
For PSP · EMI · CASP · FinTech
A structured documentation package designed to establish governance documentation supporting board oversight, management accountability and organisational decision-making.
The package supports organisations documenting board responsibilities, governance arrangements and management oversight within regulated financial services environments.
It complements existing governance frameworks and does not replace legal corporate governance requirements or board advisory services.
Areas covered
Board Governance Framework
Preparation of documentation defining board responsibilities, governance principles and oversight arrangements.
Delegation of Authority
Documentation establishing decision-making authorities, delegated responsibilities and approval structures.
Committee Documentation
Development of governance documentation supporting board committees, management committees and reporting responsibilities.
Governance Reporting
Preparation of documentation supporting governance reporting, board oversight and management information flows.
Delivery
Approximately 3–4 weeks following completion of the intake questionnaire.
Format
Word / PDF
Written delivery only
Fee
Upon request