Grainne O' Farrelly
Managing Director
Financial Services Compliance and Regulation
Dublin
Ireland Financial Services Compliance and Regulation Solutions
The regulatory environment in Ireland is dynamic and ever-changing. We support international funds, their investment managers, promoters, service providers and domestic financial institutions in navigating complex compliance and regulatory frameworks and to effectively manage financial crime risks.
Contact UsCompliance and Risk Consulting
We bring extensive relevant experience across UCITS, AIFMD, MiFID and AML/CFT regulations.
We have worked extensively with financial services firms across the industry to help them minimize risk and improve their governance, risk and compliance frameworks.
Our work is always proportionate to the nature, scale and complexity of our clients’ businesses and in line with regulatory requirements and industry best practice.
What Do We Offer?
Operational support:
- Interim role secondments such as Head of Compliance, MLRO and Designated Persons
- Ongoing and ad hoc advice
- Support pre, during and post regulatory visits or reviews
- Engagement with regulatory authorities
- Assistance with regulatory change
Assurance:
- Outsourced and co-sourced internal audit
- Global regulator appointed reviews and investigations
- Assessments of governance, risk and compliance frameworks
- Review of remediation work undertaken
- Financial investigations including money laundering, fraud, bribery and corruption
Design of:
- Governance, risk and compliance frameworks and programs
- Staff training programs
- Programs in response to new regulatory developments and business changes
- Remediation programs
Implementation:
- Staff training and development programs
- Change and remediation programs, including both technical and project management aspects
AML Compliance (Ireland and The Cayman Islands)
Kroll can provide skilled individuals in both Ireland and Cayman Islands who will ensure, on your behalf, that the AML/CFT framework in your company is up to date and in full compliance with local regulations. These individuals can act as MLRO or deputy MLRO in Ireland and AML Compliance Officer (AMLCO), MLRO or deputy MLRO in the Cayman Islands.
As part of the role, the individuals will:
- Participate in quarterly board meetings, providing quality-driven quarterly AML/CFT reporting
- Perform an annual review of the AML/CFT framework of your business (if applicable) or relevant outsourced service providers (if applicable)
- Prepare a tailor-made AML/CFT business risk assessment, using our proven and widely endorsed methodology
- Prepare and maintain, in cooperation with your compliance team, your AML/CFT policy
- Provide the board with mandatory, annual AML/CFT training, using our custom-made, top-class materials
- Maintain registers required by law of all suspicious transaction reports, PEP, EDD accounts and declined business
- Assistance during regulatory visits, including reviews, if required
Ongoing AML/CFT Compliance Solutions
Kroll’s dedicated AML Consulting Team can provide ongoing support to assist you in meeting your regulatory obligations:
- Tailored AML/CFT policies and procedures
- Due diligence reviews to provide independent assurance to senior management regarding AML/CFT controls
- Ongoing consulting support on a retained or ad hoc basis
- Assistance with preparation for any AML themed regulatory visits and the remediation of any findings
- Training for staff and directors as required
Financial Services Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
UK Financial Services Compliance and Regulation Solutions
The UK regulatory landscape is constantly evolving, with new Financial Conduct Authority (FCA) initiatives introduced and working practices regularly updated at a European level.
U.S. Financial Services Compliance and Regulation
Navigate the ever-changing U.S. financial regulatory environment with confidence. Kroll provides unparalleled expertise in SEC, FINRA, NFA and CFTC regulations, helping clients mitigate risks, maintain current compliance programs and confidently overcome regulatory challenges.
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