Ongoing Compliance Support
Retained post-authorisation compliance support: monitoring, reporting, regulatory change, board reporting and regulator engagement for authorised firms.
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What We Do
Authorisation is the beginning of the supervisory relationship, not the end of the regulatory work. An authorised firm has to operate the framework it described in its application, evidence that the controls work, submit accurate returns, notify material changes and respond credibly when the regulator asks questions.
Our ongoing compliance support is a retained arrangement that keeps that framework live. We run or support the compliance monitoring programme, maintain the policy suite, convert regulatory developments into control changes, prepare board and committee reporting, and support the firm through information requests and supervisory correspondence.
This service assumes the framework exists. Where it needs to be designed, restructured or extended into a new market, that work sits with our compliance advisory service, and the two are frequently sequenced together.
Baseline Review
We establish what the framework requires, what is operating and where the evidence gaps are.
Monitoring Plan
We set a risk-based annual compliance monitoring plan with defined testing and reporting.
Operate & Report
We deliver monitoring, management information, board reporting and regulatory return support on an agreed cycle.
Respond & Adapt
We support regulator engagement and implement regulatory change as it arises.
What's Included
Compliance Monitoring Programme
Risk-based annual plan, control testing, thematic reviews and documented findings with owners and deadlines.
Board & Committee Reporting
Management information that shows whether controls are working, not simply that they exist.
Regulatory Change Management
Horizon scanning translated into specific control and policy changes with implementation tracking.
Policy Maintenance
Scheduled review and update of the policy and procedure suite as rules and the business change.
Regulatory Reporting Support
Return preparation support, data quality checks and reporting governance across the return set.
Regulator Engagement Support
Assistance with information requests, notifications and supervisory correspondence.
Who This Service Is For
Firm Types
- - Newly authorised payment institutions and EMIs
- - Registered MSBs and money transmitters
- - Cryptoasset firms operating under registration or authorisation
- - Firms without a full in-house compliance function
Situations & Triggers
- - Transitioning from authorisation to live operations
- - Preparing for a supervisory visit or examination
- - Covering capacity gaps in an existing compliance team
- - Implementing a significant regulatory change
Why Work With Us
Specialist Sectors
We work only with payment institutions, EMIs, MSBs, money transmitters and cryptoasset firms.
Senior-Led Delivery
Every engagement is led by a senior consultant with hands-on regulatory experience - not delegated to junior staff.
Practical, Not Theoretical
We build frameworks that work in practice, not just on paper. Our advice is grounded in what regulators actually expect.
Global Reach
We advise across 65+ jurisdictions, combining local regulatory knowledge with a consistent, high-quality approach.
Related Insights
Frequently Asked Questions
A risk-based compliance monitoring programme, policy maintenance, regulatory change management, board and committee reporting, regulatory reporting support and assistance with regulator information requests, delivered on an agreed cycle under a retained arrangement.
A compliance audit is a point in time independent review of arrangements. Ongoing compliance support is continuous operational support that keeps the framework running between reviews. Firms often use both, with independence preserved by separating the reviewer from the support team.
No. We are an advisory firm. We support firms in establishing, resourcing and maintaining their own compliance officer and MLRO arrangements, and we advise the individuals holding those responsibilities, but the responsibility remains with the firm.
It tests whether the controls the firm relies on are operating: safeguarding reconciliation, customer due diligence quality, transaction monitoring alert handling, complaints outcomes, financial promotions, reporting accuracy and the areas the firm's own risk assessment identifies as highest risk.
Yes. We help prepare the evidence pack, rehearse the internal narrative, support the firm during the engagement and manage follow-up actions and remediation commitments.
Horizon scanning is only useful when it produces action. We translate applicable developments into specific policy and control changes, assign owners and deadlines, and report implementation status to the board.
Monthly retainers scoped to the size and complexity of the business and the level of support required. Scope and deliverables are fixed in advance so the firm knows exactly what is being delivered each month.