OUR IMPACT

Our division is dedicated to preventing, detecting, and mitigating compliance, regulatory, and reputational risks throughout the firm. These objectives are achieved through the implementation of an enterprise-wide compliance risk management programme. As an independent control function within the firm and operating as part of the second line of defence, Compliance is responsible for assessing the firm’s exposure to compliance, regulatory, and reputational risks. 

The division actively monitors adherence to new and amended laws, rules, and regulations. The division’s key responsibilities include designing and implementing effective controls, policies, procedures, and training programmes to promote compliance. It also conducts independent testing to ensure standards are met, investigates and monitors for potential risks or breaches, and leads the firm’s responses to regulatory examinations, audits, and inquiries. The team comprises individuals from a ...