Services

REGULATORY COMPLIANCE

For your piece-of-mind

Regulatory Compliance

• Set-up of the Compliance framework
• Compliance policies/procedures and reporting
• Compliance Monitoring Plan
• Health check and gap analysis to identify potential deviations from the current state of regulation
• Set-up of delegation control process (initial and ongoing Due Diligence)
• Regulatory Watch process
• Policies, procedures and processes in relation to marketing communications

AML/CTF

• Risk Based approach (risk appetite, own risk assessment, Country risk assessment)
• Due diligence on clients, business partners and delegates
• AML/CTF policies and procedures
• Remediation assistance
• Ongoing support in AML/CTF matters

Business and Operations

• Target Operating Model design and implementation support
• Definition and implementation support of regulatory projects
• Remediation project support
• Project Management assistance

INDEPENDENT DIRECTORSHIP AND INTERIM MANAGEMENT

For your governance requirements

As an independent director we can provide valuable oversight, expertise, and diversity to financial institutions, helping to ensure that they are well-governed and meeting their obligations to stakeholders.

Specifically in the field of Compliance, it can be challenging to find a suitable employee. Scharzberg offers interim management services to close this gap. With 18 years of Legal and Compliance experience in the financial sector, we will help you manage your tasks in this field until you have found the right candidate. 

TRAINING/COACHING

For your team to strive

Our approach is centered around empowering employees with a deep understanding of the rationale behind compliance requirements. We believe that when individuals comprehend the reasons behind regulations, they are better equipped to apply them in their day-to-day operations effectively. Our training sessions go beyond mere rule recitation; they create a vivid learning experience that engages participants and sparks critical thinking.

We recognize that every organization is unique. Our training programs are tailored to your specific industry, regulatory environment, and organizational needs, ensuring maximum relevance and impact.