The compliance function serves primarily as advice, monitoring and training in support of business units and management by ensuring the validity of the controls associated with a continuous monitoring of the operations and related risks of the company.

We will help you to ensure that the company’s business and employees actions are compliant with the existent external laws and regulations as well as the internal policies and procedures. To this end, the compliance function develops, coordinates and operates a continuous monitoring and controlling of new and existing activities of the company with the aim of facilitating the business and at the same time minimize the potential risks that could arise in the business.

The purpose the compliance function is to create and to coordinate the controls over the company, covering its whole business, in particular:

- ensure that the company’s business is conducted in compliance with professional standards and business practices;

- Ensure that business is carried out diligently, loyally, equally and ethically;

- Identify and manage legal, operational and reputational risks.

In the daily activity, the compliance function consists of the following controls:

ANALYSIS

Implementation of accurate ongoing controls to block potentially arising risks within the company and/or identify and reduce existent ones. With the analysis process, the compliance function has to identify risks in the following fields: regulatory, legal, financial, reputational, and operational.

MONITORING AND IDENTIFICATION

Performing regular controls to verify that no issues arise during the execution of the day-to-day business as well as when new projects start and, finally, from a regulatory environment perspective, because regulatory changes could lead to potential leaks of compliance if not duly detected and implemented.

REPORTING (regular/ad-hoc)

Report on the controls performed and notify eventual findings to the reporting line and authorities on a regular pre-determined and ad-hoc basis.

ADVISORY AND TRAINING

Advise the business on laws, regulations and controls and develops training programmes to raise awareness of staff.

ongoing controls to ensure regulatory IMPLEMENTATION

COMPliance

Partnering with ​

GOVERNANCE

Solutions seekers with deep professional background.

RISK MANAGEMENT

Making the numbers talk

COMPLIANCE

Ongoing controls to ensure regulatory implementation

SUBSTANCE

Help you to make a substantial difference

Arkus Governance Partners

 

6b route de Trêves

L-2633, Senningerberg

Luxembourg

agp@arkus-fs.com

Follow us

  • White LinkedIn Icon

© 2017 par Arkus Financial Services

Créé avec Wix.com