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Services

Making life easier while navigating complex regulations.
Our compliance solutions fit banking, financial services and fintech.

Design & Implementation Framework

  • Obligations Library with Necessary Controls (RBI, SEBI, FIU, etc.)

  • Formulation/Implementation of policies, SoPs, and related docs 

  • Ethics and Governance Framework

  • Setting up of Compliance Operations (GCCs in India) 

  • 3 Lines of Defense

  • Compliance Risk Assessment  

  • Compliance Monitoring and Testing

Independent Regulatory Compliance Assurance

  • RBI-mandated External Review of Compliance

  • Assessment of Business Line controls and adherence frameworks

  • Thematic Review of Compliance Processes (AML/KYC, Prudential Norms compliance)

  • Holistic Review of Regulatory Computation and Reporting Processes

  • Supporting Compliance Testing and Monitoring Plans

  • Conducting Compliance Risk Assessments

Advisory

Support

  • Ongoing Regulatory Compliance advisory covering banking and securities market regulatory requirements

  • Assistance to regulated entities in the application process for obtaining various regulatory authorisations/licenses/registrations

  • Assisting NBFCs with implementation of Scale Based Regulations

  • Supplementing and supporting compliance advisory functions within banks and institutions in specific functional areas

  • Providing advisory resources to extend bandwidth of inhouse compliance functions

Learning &

Development

  • Need based Thematic Compliance & Regulatory Training

  • Supporting clients in providing mandatory regulatory trainings around market conduct and AML

  • Awareness and guidance programs on new regulations and significant regulatory changes

  • Enhancing understanding of regulatory expectations and obligations at Senior Management/Board levels

Regulatory

Reporting

  • Assistance in the preparation and submission of Regulatory Reports

  • Supporting RBS Tranche III/ RBS Tranche IV Compliance Reviews

  • Helping formulate appropriate policies and operating procedures for regulatory reporting and responding to regulatory enquiries

  • Reviewing efficacy and effectiveness of regulatory reporting processes

  • Supplementing and supporting in house compliance functions to interface and respond to periodical regulatory inspections and supervisory assessments

Technology

Solutions

  • Providing cutting edge regulatory compliance related technology and automation solutions.

  • We currently offer- 

  • Our Cloud-based Compliance Management System - Complinova facilitates automation of compliance functions comprehensively meeting extant regulatory requirements 

  • Customizable Sanctions and AML software to simplify regulatory compliance in banks, facilitating seamless onboarding and periodical due diligence of clients via compliant online processes

  • Working with client institutions to develop and provide bespoke technology solutions around regulatory compliance and reporting

Compliance Resourcing

& Support Services

  • Assistance in providing ad-hoc and full-time compliance resources 

  • Helping clients explore opportunities for extending bandwidth and enhancing efficiency through outsourcing and third-party support models

  • Supporting Compliance operations through customized outsourcing models ensuring in house compliance accountability is maintained 

  • Supporting GCCs in India augment their bandwidth in local regulatory compliance as well as mange their global compliance program

Contact

CONTACT

Let’s Work Together

Awon House

ARK Complex, Andheri East

Mumbai - 400059, India

info@compliancematters.in

Veena Gadia : +91 9821121816

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