Q/Avyse
Rigour without the trigger.
Purpose.
Time and again, enforcement action comes down to getting the basics wrong - KYC, transaction monitoring and screening. And we get it - you’re operationalising complex compliance at scale and that’s not always compatible.
Technology, training and templates help your staff, but proactive leaders recognise that independent, expert, human assurance is crucial.
Q/Avyse gives you the rigour of a skilled person review but on your terms. Continuous. Designed to surface issues early, while there is still time to fix them cheaply.
The three Q/Avyse Integrity Programmes
KYC
The bedrock of your framework is also the biggest source of regulatory enforcement. Too often a tick list, rather than a meaningful due diligence process - we help you build commercially valuable, regulatory compliant and risk insightful files.
TM
You’re obliged to identify and report suspicious transactions. Regulators expect sound decision making and high quality record keeping - we help you create consistently clear, well reasoned dispositions.
Screening
Assessing sanctions, PEP and negative media exposure
How it works
We’ll flex to meet your needs, but this is how it tends to happen.
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First thing, and once every year beyond then, we’ll review all your relevant policies and procedures to assess the effectiveness of their design.
We’ll give you recommendations if appropriate.
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Every month we’ll test an agreed number of cases. You’ll give us a list, we’ll pick a sample, you send us the documents and then sit back and relax.
We will test the operating effectiveness and give you a memo back for each case.
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Every quarter, we’ll give you a broader report on themes and trends in relation to the testing we’ve conducted. We’ll make sure to inform you of any wider regulatory matters coming down the line too. This will help you monitor improvements, spot emerging issues and understand upcoming changes.
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All of the above, for one simple and low cost monthly fee
