Service catalogue

Mandates written as work, not as a menu of adjectives.

Each line below is a scoped consulting engagement. Purpose, process, deliverables and the intended customer are stated so you can see whether the work matches the problem on your desk.

Dossier 03
Mandates

AML / CFT programme work

Purpose. Build or refresh the anti-money-laundering and counter-terrorist-financing operating file so customer due diligence, monitoring and reporting duties can be evidenced.

Scope. Business-wide risk assessment, customer risk factors, CDD/EDD paths, screening logic, unusual-activity handling, training outline, management information. Legal opinions and SAR/STR filing in the client’s name remain with the client and, where needed, counsel.

Process. Document intake, process walk-through, gap matrix, drafting, table-top on a sample file, close-out pack. Detail: AML / CFT page.

Deliverables. Risk assessment, procedure set, control register, sample checklists, board summary.

Intended customer. Institutions and intermediaries that on-board clients, move value, or must answer a bank or supervisor on financial-crime controls.

Data protection operating file

Purpose. Make personal-data processing explainable: what is held, why, who touches it, how long it stays, and what happens on a request or incident.

Scope. Processing inventory, lawful basis, processor overlay, retention, access requests, incident path. Court representation and DPO-of-record appointments are out of default scope.

Process. System and contract review, interviews with process owners, register build, procedure drafting, request rehearsal. Detail: data protection page.

Deliverables. Record of processing, notices outline, processor checklist, retention schedule, incident playbook.

Intended customer. Firms with employee, customer or counterpart data, including those selling into the EU or using foreign processors.

Licensing and permit hygiene

Purpose. Keep licensed activity aligned with what the permit actually allows, and keep the evidence calendar from slipping.

Scope. Condition matrix, change-of-activity analysis, application file structure, reporting calendar. Filing as attorney-in-fact is not implied.

Process. Permit reading, activity mapping, missing-evidence list, drafting support, pre-submission review. Detail: licensing page.

Deliverables. Condition tracker, document index, responsibility map, management brief on constraints.

Intended customer. Operators entering a licensed activity, expanding a product, or approaching renewal.

Internal control design and inspection readiness

Purpose. Translate policies into named owners, sample tests and a file that can be walked through without improvisation.

Scope. Control catalogue, RACI, testing sheets, inspection room index. We do not impersonate a supervisor or coach anyone to conceal facts.

Process. Current-state review, control rewrite, evidence sampling, rehearsal, residual-risk note.

Deliverables. Control register, test plan, inspection index, issues log with owners and dates.

Intended customer. Management facing audit, correspondent review, or a first formal inspection.

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