Compliance

With the growth in the financial services industries over the years and the more recent proliferation of FinTechs, cryptocurrencies and exchanges and the rapid development of non- traditional financial channels, has gained unparalleled prominence in banking institutions and in regulatory expectations and regulations. Given the importance of Compliance, the expectation is that the tone is set at the top of an organization and permeates throughout every aspect of doing business, enhancing the achievement of business goals in a safe and secure manner without exposing the bank to financial crime risk or reputation risk and ensuring its adherence to regulatory requirements. Stratagem Advisors helps clients anticipate and adapt to regulatory changes and achieve these objectives as part of its overall business strategy. Stratagem compliance services include, among others:

Compliance processes, policies and procedures

• Assessing, designing and implementing policies and procedures including anti-money laundering frameworks, know-your-customer policies, transaction monitoring and enhanced due diligence

Compliance and risk assessments

• Conducting compliance and risk assessments
• Evaluating internal and regulatory reporting compliance.
• Assist in selecting advisors related to the remediation of transaction alerts and backlogs, and implementing new reporting processes

Compliance Reporting

• Developing risk-based compliance reporting, including suspicious activity reports
• Assisting clients in the selection of appropriate technology providers and implementation of compliance technology solutions for compliance and regulatory reporting