Regulatory Assurance

Regulatory Assurance

We help regulators, regulator-appointed experts and regulated firms understand the effectiveness of financial crime control frameworks.

SQA Consulting is recognised across the financial services sector for our expertise in financial crime controls. We have worked with many of the world’s leading banks as well as other established financial institutions (FIs) & Fintech companies.

Since 2006, SQA Consulting has been helping financial institutions understand the strengths & weaknesses of their financial crime controls environment. Much of our assurance work is commissioned directly by banks & other FIs and we also work on behalf of regulators to interrogate and assess a firm’s systems and processes.

Our team has vast experience using, implementing & assessing Financial Crime Frameworks & Systems.

Our Regulatory Assurance practice has two flavours:

  • We support Regulators & Regulator-appointed reviewers (Skilled Persons, Monitors etc) by providing screening & transaction monitoring expertise.
  • Our market-leading software tools provide objective, tangible analysis & benchmarks that enable valuable, actionable insight into a firm’s processes and systems.
  • Our team understands how Financial Crime Operations & Compliance teams work from the inside. They can identify strengths & opportunities for improvement across the end to end framework.
  • We work directly with firms where they want to understand the robustness of their current systems, processes & controls.
  • We offer a Healthcheck that gives firms an independent view of how their framework measures up to the competition & to regulatory expectations. The Healthcheck can easily be tailored to a firm’s requirements.
  • This type of independent review is welcomed & recommended by regulators & helps demonstrate a mature approach to compliance risk management.

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Assessing and improving firms’ AML and Sanctions controls.




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