Quality Collaborative Work
Temple Risk is experienced in dealing with City Law firms and Big Four Accountancy Consultants on major complex projects-including Clifford Chance, Slaughter and May, Herbert Smith, PWC, Deloittes, KPMG, Ernst & Young and Grant Thornton.
FCA Regulatory Enforcement Systems and Controls Change Programme
Design and leadership of a company-wide systems and controls change programme for a firm, responding to regulatory enforcement, working in conjunction with its major IT investment programme.
New Risk Framework-substantial IFA Network
Design and installation of new risk framework, including a formal Three Lines of Defence controls model, to satisfy skilled person’s requirements and subjected to FSA scrutiny.
New Regulated Entity-Internet Bank
The client firm was setting up a new internet bank post the 2008 financial crisis. Temple Risk was responsible for the design and preparation of the regulatory requirements of the new application to the FSA. The work comprised preparation of a full suite of key Compliance Policies, a Compliance Manual and Approved Persons Manual as well as due diligence assessment of regulatory capabilities of primary outsourcing partner.
Operational Risk Review-Investment Bank
Conduct of an in-depth Operational Risk Review for senior management team of Investment Bank covering whole of senior management team and trading floor oversight.
Consumer Finance-Complaints Handling Team: recruited, inducted and managed
A Complaints Handling Team was recruited, inducted and managed for a client firm with a key requirement that it worked harmoniously and in parallel with the firm's full-time, established employee team.