Regulatory Audit on specialized units

Regulatory Audit on specialized units

Target

The Compliance function of a leading Banking Group (among the top 10) required us to carry out specific checks on the regulatory frameworks assigned to specialized units, in close collaboration with the personnel of these units.

The activity was carried out in co-sourcing and with the oversight of the heads of the Compliance function. Checks involved various regulatory areas, including: tax, supervisory reports, health and safety and privacy.

Team

6 resources

Results

The Compliance function validated and activated the specialized units, having ensured complete consistency with the methodologies adopted by the function.