Zoe Dixon-Smith
Managing Director, Baker Regulatory, Jersey
Zoe Dixon-Smith is Managing Director at Baker Regulatory Services.
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.
Our consultants have extensive experience across sectors in banking, trust and company services, fund services, investment business, law enforcement and with the regulator. We deliver practical support and guidance when and where you need it. We will help your organisation stay current and compliant, providing advice on specific issues as they arise and help you protect your organisation from financial crime and compliance risks while helping you meet your regulatory obligations.
Problem
Managing your business on a day-to-day basis as well as keeping up to date with ever-evolving complex regulations and best practices can be challenging and time consuming. However, not doing so can lead to regulatory sanctions and reputational damage.
Solved
Having Baker Regulatory Services as a trusted partner to support you, your management and compliance teams ensures your organisation can thrive while remaining compliant.
We can assess, develop, or refine your control framework, ensuring it aligns with regulatory expectations and best practices, ensuring your business has robust yet pragmatic risk management, compliance and AML policies, procedures and processes in place to support your activities.
Wherever you need support, the Baker Regulatory Services team is ready to assist.
Consultancy services offered by Baker Regulatory Services
Whatever your need, our team of compliance consultants are here to assist you:
- Providing practical AML/CFT/CPF and regulatory compliance advice.
- Providing advice and guidance concerning onboarding complex client relationships.
- Drafting, mapping and updating policies and procedures.
- Conducting a general regulatory health check.
- Conducting board effectiveness and corporate governance reviews.
- Assisting with the preparation and review of your Business Risk Assessment and associated documents.
- Preparing for on-site regulatory examinations, including interview training.
- Remediating regulatory findings.
- Conducting client reviews.
- Verifying remediation projects have been completed satisfactorily.
- Assessing the effectiveness of your compliance & risk function, compliance monitoring and transaction monitoring programs.
- Acting as a Reporting Professional in relation to regulatory action.
- Conducting mock regulatory examinations.
- Managing civil penalty settlement negotiations.
- Investigating breaches and incidents to ascertain root cause and mitigate future occurrences.
- Acting as an extension of your compliance team to support during busy periods.
- Delivering bespoke face-to-face training.
- Supporting employment dispute investigations.
- Conducting civil and criminal fraud investigations.
- Reviewing and analysing disaster recovery and business continuity plans.
- Assisting with preparation for a sale or merger and ongoing integration of businesses.
- Undertaking regulatory due diligence on acquisition targets.
We benefited from Baker Regulatory Services consultancy services which enabled us to restructure some of our outsourcing frameworks with the support of a dedicated consultant.