Compliance means to abide by the rules
Financial companies are obligated to comply with the laws and regulations that apply to the business. A Compliance officer (responsible for regulatory compliance) is tasked with aiding companies in complying with the rules that apply to the business. The duties include, among other things, assisting in the implementation of internal guidelines and instructions, overseeing compliance, identifying and reporting deficiencies in the compliance, and educating boards and employees in regulatory frameworks. In addition, the Compliance officer must regularly report to the board and management.
We attach great importance to familiarizing ourselves with and understanding the client's specific operations. We do this by carrying out part of the assignment on site with the client. We are also keen to transfer knowledge to our clients so that there is sufficient knowledge internally about the regulations that govern their business.
Apriori can take responsibility as outsourced Compliance Officer for clients and is then notified as such to the Financial Supervisory Authority. We can also support clients' existing compliance functions and assist with individual tasks, for example independent checks or GAP analyses.
Interim Compliance
When employees quit or go on parental leave, it is often necessary to have support from a senior Compliance officer on short notice.
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Compliance on demand
Do you need continuous support, aid during a high-paced period or assistance during certain periods of the year?
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If you would like to know more about our services in the area of compliance, please reach out to us!