Regulatory Compliance Advisory

(GDPR, FCA, AML, ISO, SM&CR)

What We Provide:

  • Regulatory Gap Assessments:Assessments against jurisdiction-specific requirements (e.g., GDPR, UK FCA Handbook, SM&CR, 5MLD, ISO 37301). Risk-rated gap analysis and prioritised remediation roadmaps provided.
  • Compliance Operating Model Design:Establishment of frameworks including policies, controls, assurance mechanisms, and lines of accountability. Incorporation of Regulatory Technology (RegTech) where applicable.
  • Policy and Procedure Development:End-to-end drafting and implementation of controls, including KYC/AML, data privacy, anti-bribery & corruption, sanctions screening, and whistleblowing mechanisms.
  • Regulatory Training and Awareness Programs:Role-based e-learning and face-to-face training aligned with regulatory expectations and audit trail needs. Includes ongoing competence frameworks and annual refreshers.
  • Audit-Ready Documentation:Development of compliance registers, control evidence packs, regulatory maps, and audit trails suitable for both internal and external reviews.

Business Impact:

  • Strengthens regulatory resilience and reduces the risk of enforcement actions and reputational damage.
  • Promotes a compliance culture embedded at all levels of the organisation.
  • Ensures proactive regulator engagement with demonstrable compliance maturity.
  • Reduces fines and mitigates the risk of personal liability for SMF role holders under SM&CR.

Check out our Services

CYBER RISK & INFOSEC
ENTERPRISE RISK MANAGEMENT
INTERNAL AUDIT
REGULATORY COMPLIANCE
DATA GOVERNANCE
FRACTIONAL ROLES

RMO for your Business

At RMO Risk and Advisory, we provide strategic, hands-on support across internal audit, regulatory compliance, and enterprise risk management.

Whether it’s a thematic deep dive, control walkthroughs, or independent assurance where no in-house function exists, we help you strengthen internal controls, increase transparency, and align risk efforts with growth.