We offer a broad range of assurance services drawing on the extensive experience of our consultants, both in line management roles within major financial institutions and in providing similar services to clients.
Internal Audit Services
We deliver fully outsourced services, providing all aspects of normal in-house functions, but with the additional benefits of an outsourced service, including:
- dedicated but flexible resource
- a breadth of specialists rarely available in an in-house function
- cost effective services able to cope with changing risks
- following best practice using current methodologies, tools and intellectual capital
We work alongside existing internal groups such as the Audit Committee and other risk management functions to effectively meet your assurance needs.
We deliver solutions to meet your specific needs including:
- the provision of financial services experienced staff to assist with audit plan execution or specific risk coverage
- training, benchmarking, methodology development and audit plan assessment
specialist reviews including:
- derivatives and structured products across all asset classes
- management information systems
- corporate governance / supervisory controls
- functional areas (Treasury, Financial & Product Control, Credit & Market Risk Management, Legal & Compliance, HR etc.)
- business continuity planning
- regulatory compliance (regulatory reporting / capital adequacy etc)
- external quality assurance reviews of in-house Internal Audit functions
- pre and post implementation project reviews e.g. a major system implementation, new business lines or products.
Process & Control Assessment
We can review existing processes with a view to enhancement, or advise in 'green field' situations, such as formulating risk management strategies or developing an enterprise wide risk management framework. An increasing trend is for "Health Check" reviews often carried out prior to an internal or external audit, FCA/PRA or other such review.
Technology Risk Management - IT Related Internal Audit & Controls Reviews
We offer both integrated internal audit services and specialist IT reviews including:
- application and infrastructure controls assurance
- data management, protection and confidentiality
- network management
- systems availability assurance
- IT performance & governance reviews
- outsourced risk management assessment
- data mining/penetration tests.