COMPLIANCE & INVESTIGATIONS
Organizations in highly regulated industries have an imperative to understand and act quickly to mitigate their risk profile. As data volumes rapidly expand and the way we work continues to transform and evolve, having a proactive solution in place is critical.
We work with clients to design processes and deploy teams skilled in proactive surveillance, reactive lookbacks, third party due diligence, risk management and contract repapering for regulatory events.
- Surveillance: monitor chat and message flows based on AI and keyword hits that trigger policy requirements
- Lookbacks: collect and review data for issues and provide reports to compliance team on any deviations or violations
- Third party due diligence: assess suppliers via questionnaires and identity verification to ensure that business transactions are compliant with appropriate regulatory requirements (e.g. FCPA, OFAC, ITAR)
- Contract repapering: Update and negotiate language with third parties to ensure that contracts meet regulatory requirements (e.g. addition or changes of clauses due to GDPR, LIBOR)