Turn the company’s risk model into working customer, counterparty, transaction and escalation controls.
Why this workstream matters
Begin with geography, customer type, channels, products, assets, velocity, custody, cash exposure and counterparties. The risk assessment then drives acceptance, CDD/EDD, PEP/sanctions, source checks, VASP counterparty due diligence, KYT, alert handling, reporting and QA.
Principal deliverables
- Enterprise and product risk assessments
- Customer acceptance and CDD/EDD
- PEP, sanctions and adverse-media controls
- KYC/KYB and source workflows
- KYT rules and investigations
- Reporting, records, QA and training
How it connects to the application
Outputs must be consistent with the ownership structure, product and information flows, providers, business plan, staffing assumptions, policies and system behaviour. Any inconsistency should be resolved before filing or implementation.
Client inputs and dependencies
We confirm required founders, group records, product documentation, vendor information, system access, markets, transaction assumptions and responsible client personnel during scoping. The proposal separates adviser work, client responsibilities and third-party costs.