Today’s regulatory environment requires the development of a consistent and cohesive approach toward an organization’s overall governance framework. Regulators have stated that “strong” is the new “norm” as it relates to enterprise compliance programmes.

The success of a firm is measured by how “strong” it is governed. Corporate governance starts at the top and filters down. The key elements set out in the UK Corporate Governance Code are:

  • Leadership
  • Effectiveness
  • Accountability
  • Remuneration
  • Relations with shareholders

GRC specializes in the creation of tailored enterprise compliance risk management programmes that fully reconcile to an organization’s governance standards and desire to establish a “culture of compliance.” GRC’s enterprise industry experts offer:

  • Firm/Compliance Culture
  • Enterprise Compliance Risk Management
  • Creating/Embedding/Enhancing the 3 Lines of Defence Model
  • Compliance Risk Management Lifecycle Models
  • Risk Ranking Methodologies
  • Management Dashboards for Board Reporting and Board Presentations
  • Corrective Action monitoring
  • Corrective Action monitoring Business Ethics
  • Compliance Operational Risk Assessments
  • Training and Development
GRC can help you achieve your corporate governance obligations by:
  • Undertaking Board effectiveness and governance reviews
  • Establishing a corporate governance structure appropriate to your business
  • Identifying relevant responsibilities
  • Advising on effective delegation
  • Setting out clear reporting lines
  • Advising on the management information (“MI”) required
  • Advising on the responsibilities and composition of committees
  • Creating policies and procedures appropriate to your Firm
  • Training all personnel in the demands of good corporate governance

Outside of setting the “tone”, GRC will manage/help you with governance components such as:

New Authorisations and Permissions to include Variations of Permissions (‘VoP”) Applications

Permissions analysis – remember if you do not use your permission’s, you may now loose it as the FCA monitors unused permissions

  • Financial Crime Programme creation/enhancement
  • Compliance Programme creation/enhancement
  • Risk model reporting model
  • Corrective Action and Issue resolution model


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