I need compliance help but I don’t need or want full time resource.
TCF offers a range of Managed Service options providing a choice of on call, on hand or partnering support from experienced compliance professionals who can help deliver, support or mentor.
I need to have effective policies and want help in ensuring that they are in place and operating.
TCF can provide policy support from policy templates, through policy drafting to QA and review. TCF aims to ensure that the policy approach is tailored to the business and is not ‘one size fits all’ across businesses and will focus on helping you have policies in your language, fit for your business.
How do I ensure I have the right roles and people identified to meet the requirements on SMR or Approved Persons?
TCF offers a choice covering organisational evaluations of governance and roles, assessment of individuals, creation or QA of application documentation and coaching and mock interviews of individuals using a TCF team which has direct regulatory and SMR/Approved Persons experience to give a ‘real life’ experience.
How does the Board and senior team work out what the regulatory impacts will be for the business and the implications for them and their roles?
TCF has a time effective interactive workshop for the Board and senior team which focuses on the implications from the perspective of their roles and their personal responsibilities. Carried out by a TCF Team with direct experience of this themselves, this aims to connect the regulatory perspective with senior business experience to provide practical insights.
I am concerned to ensure that I am meeting regulatory requirements on complaints handling and that I am handling customer complaints effectively to support a successful business.
Using TCF Team members experienced in dealing with Complaints Processes, regulatory requirements on complaints and remediation where things have gone wrong, you can choose the intensity and kind of support you need to deal with your complaints challenges.
I need dedicated compliance help for a limited period of time.
TCF can offer compliance support on an interim basis from 1 month’s duration upwards, using experienced compliance interims.
I need to upskill my compliance resource and or inject more practical experience.
TCF offers a range of Compliance Training, Compliance Mentoring and Compliance Development options, tailored to the needs of the business and people concerned. This includes classroom style Compliance Courses, one to one Compliance Coaching, and mock regulatory meetings. Can be combined with Managed Service support or any of TCF’s range of workshops, training and coaching options.
I want to understand how my approach to AML compares with regulatory and industry standards and expectations. I want to ensure that my AML handbook and policy is effective and accessible for my team.
TCF can undertake reviews of your AML policy, processes and approach to provide you with an evaluation and recommendations for development.