03 · Advisory
Risk-based compliance, AML and financial crime frameworks designed around the actual business model.
Where this tends to matter
The scope changes according to the regulatory perimeter, business model, maturity of the firm and the decision that needs to be made. RCC starts with that context rather than forcing every client into the same template.
What is usually happening
AML, sanctions, fraud or compliance controls that do not match the risk profile
Policy frameworks that are difficult to operate or evidence
Weak monitoring, escalation or MLRO reporting arrangements
Regulatory remediation following audit, bank or supervisor findings
How RCC approaches it
Assess financial crime and regulatory control effectiveness
Design or remediate AML, sanctions, KYC/KYB and monitoring frameworks
Build compliance monitoring and reporting that produces usable evidence
Support MLRO, compliance officer and senior management accountability
What an engagement can produce
The exact package depends on the mandate. These are examples of the work that may sit behind the engagement rather than a fixed shopping list.
AML and financial crime framework
Business-wide risk assessment
Compliance monitoring programme
MLRO reporting structure
Remediation plan and evidence tracker
