Consulting Services
SERVICES
At Objectivus we focus on small to medium financial services firms. Our dedicated team offers cost-effective and practical support during the start-up phase, the launch and then throughout the life of the business.
Governance and Risk
Assessing and developing risk management frameworks and risk tolerance limits, including trading, prudential and counterparty risk, typically as part of a firm's ICARA process. We also carry out full governance reviews, including compliance with the MIFIDPRU remuneration code.
Compliance Services
Retained and ad-hoc compliance support from start-up and authorisation through to launch and beyond: regulatory business plans, policies and procedures, compliance reviews and health checks, ICARA reviews and support with regulatory visits.
Financial Crime
Anti-money laundering and counter-terrorist financing policies and procedures, risk assessments, PEPs and sanctions compliance, help for MLROs with their annual report to the board, and staff training on financial crime, bribery and corruption.
Senior Managers and Certification Regime
Advice on the SM&CR, including related governance, risk and compliance issues, and helping structure end-to-end processes that enable senior managers to understand and manage the firm's risk and control framework.
Client Assets, Prudential and Fractional CFO
Ongoing ownership of the CASS and prudential framework, remediation following an unsatisfactory audit or regulatory undertaking, and fractional or interim CFO cover where a permanent, full-time hire is not the right fit.
Internal Audit
Independent, objective assurance and advice to improve governance, risk management and control processes, whether fully outsourced, co-sourced alongside your own team, or as an independent review of an existing in-house function.
To discuss how we can help, call us on +44 (0)20 3457 3283 or email info@objectivus.com.
