Support, Advice & Mentoring
Baker Regulatory can provide experienced practitioners supported up by an independent team of experts, to provide you with compliance, risk and AML advice, guidance, mentoring and resources when your business most needs it.
Problem
Firms can experience a temporary lack of experienced compliance, risk and AML professionals due to resourcing difficulties or unforeseen absences. This can leave a business vulnerable to an increased level of regulatory risk and employees being overstretched and overwhelmed.
Solved
Our team of seasoned professionals has decades of practical hands-on experience within banks, funds businesses, trust company businesses, investment businesses and money services businesses. Collective, our consultants have held Key Person positions; headed up risk, AML and compliance functions, nationally and internationally; worked for law enforcement and the regulator; held executive directorships and are available to support your business through growth and times of need.
Support and Advice offered by Baker Regulatory Services
- One off piece of advice.
- On a retainer to provide ongoing advice or support on regulatory matters.
- A safe pair of hands to provide support to your compliance office, MLRO and MLCO whilst building knowledge and experience inhouse.
- Temporary assistance for your risk, compliance or AML team to complete specific projects, reviews and remediation.
- Mentoring of risk, compliance and AML employees, providing guidance, support, training and development plans.