AML, KYC, and KYB frameworks
Coordinate practical control frameworks for customer due diligence, business verification, monitoring, and escalation.
Controls for sustainable operations
Regulatory Support
Strengthen the policies, controls, evidence, and operating routines that support a regulated financial or payment business over time.
Overview
Fintech-assist helps businesses organise compliance and regulatory work around real operations, whether preparing for licensing, setting up banking and safeguarding, launching payment infrastructure, or managing ongoing change. Specialist advice is coordinated where needed.
Who it’s for
- Financial, payment, and crypto businesses preparing for authorisation
- Regulated operators refining AML and customer-control frameworks
- Teams expanding payment infrastructure, banking, or safeguarding arrangements
What the support covers
Policies and risk management
Develop and organise policies, procedures, governance materials, risk assessments, and implementation records.
Regulatory documentation and ongoing support
Support licensing preparation, provider due diligence, change projects, and recurring compliance coordination.
What we coordinate
- Compliance gap assessment and implementation roadmap
- AML/KYC/KYB, policy, procedure, and risk-document coordination
- Licensing and provider-diligence evidence preparation
- Ongoing regulatory, operational, and stakeholder support
Control framework considerations
Risk profile
Controls should reflect the business model, products, customers, markets, payment flows, and delivery channels.
Jurisdictional requirements
Applicable rules and expectations vary by licence, location, regulator, and partner relationship.
Operational ownership
Policies are effective when responsibilities, training, reporting, and escalation routes are embedded in day-to-day operations.
How It Works
Assess the business risk profile and current controls
- Your role
- Share the business model, current policies, control records and known concerns.
- Our coordination
- Coordinate assessment of the risk profile and gaps between documented controls and actual operations.
- Stage outcome
- A prioritised gap assessment and scope for further work.
Agree a prioritised regulatory work programme
- Your role
- Confirm priorities, resources and the people accountable for implementation.
- Our coordination
- Agree a work programme with dependencies, responsible teams and relevant specialist input.
- Stage outcome
- An agreed regulatory-support plan and allocation of responsibilities.
Coordinate policies, evidence and operational responsibilities
- Your role
- Provide operational information and review proposed policies and procedures.
- Our coordination
- Coordinate policies, evidence and control responsibilities so they reflect the business model.
- Stage outcome
- A reviewed set of materials and an implementation checklist.
Support implementation, training and stakeholder queries
- Your role
- Put agreed controls into operation and involve the relevant staff in training and reviews.
- Our coordination
- Coordinate implementation support, training materials and responses to stakeholder questions.
- Stage outcome
- Implementation records and a list of any remaining corrective actions.
Review changes and ongoing compliance needs
- Your role
- Report material business changes and share monitoring findings or new queries.
- Our coordination
- Review agreed controls and coordinate updates or specialist advice where needed.
- Stage outcome
- Updated priorities and follow-up actions; ongoing compliance remains the company’s responsibility.
Related services
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