Compliance Management
Because of our extensive backgrounds as Big-4 accountants and consultants, FTG is highly qualified in assisting clients with a wide variety of compliance management and internal control projects, such as “Sarbanes-Oxley” and “Anti-Money Laundering”. We have also assisted clients to better manage “contractual compliance” matters (i.e., compliance with Investment Management Agreement or Debt-Covenant requirements).
Our approach is geared toward ensuring that processes are put in place and functioning efficiently to ensure compliance with the applicable requirements while not overburdening ongoing business activities. Our approach often includes:
- Assisting client personnel to identify key compliance requirements to be tracked and managed;
- Re-designing compliance processes and tool sets required for compliance workflow automation;
- Documenting the controls in the new “will be” format;
- Assessing and upgrading IT controls using the COBIT standards;
- Assisting clients through implementation and training of the new controls; and
- Conducting “walk throughs” and post-implementation reviews.
