Baker Regulatory Services

We help financial services businesses and designated non-financial services businesses manage risk and achieve compliance. Get hands-on and in-depth support for financial crime legislation, financial services regulations, codes of practice, regulatory policy and industry best practice to effectively manage the array of risks faced by businesses and individuals in today’s challenging environment.

Extra pair of safe hands

Finding experienced staff is difficult, lean on Baker Regulatory Services to fill the gaps in your risk and compliance teams on an interim, project or longer term support basis.
We’ve been there before and we’ve written the rule books.

Regulatory file reviews, investigations and remediation, AML and culture, policies and procedures, and more. Pragmatic and practical advice from experts.
Independent and conflict free

Improve board governance and receive training for the entire company while you continue day-to-day operations.

Our specialities

Resolve compliance, risk, financial crime, and corporate governance challenges by leveraging the team’s collective knowledge of evolving regulations and industry best practices.

We have a proven track record in:

Providing practical interpretation of complex regulations.

Developing policies and user-friendly procedures aligned with regulatory requirements.

Identifying and assessing vulnerabilities within a business and providing support to remediate.

Acting as trusted advisors, helping organisations navigate regulatory inspection, enforcement action and legal challenges.

Delivering bespoke training programmes for senior management teams and employees to ensure a robust understanding of regulatory requirements and obligations.

Offering emergency risk and compliance support as and when businesses require.

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Your support, experience and guidance in helping us through being referred to enforcement was invaluable and contributed to a positive outcome, the board have asked me to convey their appreciation.

Private client Financial Services Business

Sectors we work with

Trust & Company Service Providers

Funds and Fund Services Providers

Estate Agents and Non-Financial Services Providers

Banks

Governments, Regulators and Organisations

Investment Businesses

When was the last time you independently tested your AML processes and controls?

Sharon Sargeant

Regulatory Services

AML 360° Assessment

Improve your organisation’s AML control framework.

Obtain a detailed view of your company’s strengths and weaknesses including any cultural barriers, as required by regulators, with best practice recommendations on how to protect your board, colleagues and business from AML related risks.

Compliance Consultancy and Support

Get to the heart of your regulatory and compliance pain points, with the advice, assurance, resources, and training you need to get you and your organisation where you need and want to be.

Governance & Board Effectiveness Assessment

Evaluate your board and governance structure and receive recommendations to ensure an effective board, robust governance framework, healthy culture throughout your organisation and ensure effective oversight of risk, compliance and financial crime matters.

Interim Compliance Support

Experienced practitioners available to support your business when you need it most.

Whether you need guidance through regulatory examinations, board support in times of crisis, one-off advice, or vacancies filled last minute, you can trust the Baker Regulatory Services team to provide interim compliance support in your time of need.

Training

Ensure your AML/CFT/CPF and regulatory training is interesting, impactful and on point with in-person training that engages participants and brings regulatory and financial crime prevention concepts to life while fulfilling your regulatory requirements.

Available globally. Always relevant.

Releasing Frozen Assets

Has your bank account been unexpectedly frozen by your bank and you're unable to access your funds?

Baker Regulatory Services can help navigate releasing your frozen assets.

Barry Faudemer

Chief Executive, Baker Regulatory, Jersey

Barry Faudemer is the Chief Executive of Baker Regulatory Services.

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Zoe Dixon-Smith

Managing Director, Baker Regulatory, Jersey

Zoe Dixon-Smith is Managing Director at Baker Regulatory Services.

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Sharon Sargeant

Compliance Consultant. Baker Regulatory, Jersey

Sharon Sargeant is a Compliance Consultant at Baker Regulatory Services.

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Cyril Whelan

Advocate, Jersey

Cyril has been a Senior Consultant at Baker & Partners since 2007.

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Our specialities