Compliance Frameworks, Policies & Controls
A framework your people can use.
A compliance framework should make clear what people need to do, who is responsible and when to escalate. Ivorest helps you establish or improve that framework, connecting your risks and regulatory requirements with how your organisation operates.
You may be building your first framework, adapting it as your business grows or addressing findings from an audit or supervisory review.
What we build and improve
- Governance and responsibilitiesownership, decision-making authority and escalation routes.
- Integrity risk assessmentsincluding the Systematic Integrity Risk Analysis (SIRA), where applicable.
- Risk appetiteclear boundaries for the risks your organisation is willing to accept, reflected in a Risk Appetite Statement (RAS).
- Policies and proceduresexpectations and instructions that people can apply in their roles.
- Due diligence standardsrequirements for assessing customers and other business relationships.
- Controls and monitoringchecks, evidence requirements and follow-up on findings.
- Management informationreporting that supports oversight and decisions.
How we work
We review your documents and examine how they are used. We speak with the people applying them, identify gaps and duplication, and retain what works.
We connect the risk assessment and risk appetite with policies, procedures and controls, so the framework provides a consistent basis for decisions.
We also support implementation through guidance, working sessions and training, with clear ownership and review arrangements so your team can maintain the framework.
Complete revision of a compliance framework
Ivorest supported a client with the complete revision of its compliance framework, covering governance responsibilities, controls and monitoring, the Systematic Integrity Risk Analysis (SIRA) and the Risk Appetite Statement (RAS).
We updated policies and procedures to align with the organisation’s activities, integrity risks and regulatory requirements, connecting its risk assessment and risk appetite with the policies and controls used to manage those risks.
Where does your framework need attention?
Tell us what you want to build, improve or resolve.