Compliance
Compliance subscription & audit support for fintech and crypto teams.
Ongoing compliance support (monthly subscription) or a structured audit / gap analysis:
policies, procedures, onboarding flows, sanctions controls, risk register, evidence packs and regulator / bank Q&A —
with a focus on implementation and operational readiness.
Best for teams that need a compliance function “on call”: updates, reviews, partner due diligence and ongoing improvements.
Typical use cases
- Quarterly compliance reviews and updates.
- Bank/PSP due diligence and evidence packs.
- Internal audit prep and remediation.
- New markets/products and control upgrades.
Often paired with AML / KYC and
Risk framework.
Scope
What a subscription / audit typically includes
We can act as an external compliance desk (subscription) or conduct a structured audit with a remediation plan.
Scope is adjusted to your business model and risk profile.
Audit
Gap analysis & findings report
A structured review with clear remediation actions.
- Document and control review checklist.
- Sampling of onboarding / monitoring evidence.
- Risk-based findings and severity levels.
- Remediation plan with owners and timeline.
Best when you need an investor/bank-ready assessment.
Subscription
Ongoing policy maintenance
Keep documents up to date as your business changes.
- AML/KYC, sanctions, onboarding SOPs updates.
- Risk register updates and KRIs reporting.
- New product/market control impact review.
- Training refresh and attestations (optional).
Prevents “policy drift” that kills due diligence.
Support
Bank / PSP / partner due diligence
Evidence packs and structured Q&A support.
- Questionnaire responses drafting.
- Evidence pack assembly (policies + proof).
- Risk narrative alignment to your flows.
- Follow-up responses and call participation.
Often the fastest way to unblock onboarding.
Support
Regulator Q&A and readiness
Help with comments, submissions and ongoing obligations.
- Responses to regulator comments.
- Annual/periodic compliance reviews support.
- Outsourcing and governance improvements.
- Incident and reporting workflow review.
Useful for licensed and licensing-ready teams.
Ops
Onboarding & monitoring execution
Improve processes, not only documents.
- Workflow review (CRM, KYC tools, alerts).
- Escalation playbooks and case notes design.
- Sampling and QA of onboarding files.
- Periodic review schedule and automation rules.
Most value comes from execution improvements.
Ops
Audit prep & remediation tracking
Structured preparation and follow-up.
- Internal audit readiness checklist.
- Remediation tracker and evidence updates.
- Testing schedule (BCP, DR, controls).
- Board / management reporting pack template.
Helps you stay “audit-ready” continuously.
Subscription
Subscription options (indicative)
We agree the scope and SLA per month. If you prefer, we can start with an audit first and then move into subscription.
Light
Baseline support for early-stage teams.
subscription
- Monthly check-in + Q&A support.
- Policy updates (limited scope).
- Partner questionnaires (light).
- Tracking of changes and action items.
Standard
Most common for fintech/crypto teams.
subscription
- Ongoing policy + SOP maintenance.
- Monthly evidence sampling / QA (baseline).
- Bank/PSP Q&A and evidence pack support.
- Risk register updates + reporting cadence.
Audit-only engagements are also available: a fixed-scope gap analysis with findings report and remediation plan.
FAQ
Common questions
Short answers. Subscription scope and SLA are always agreed in writing.
What’s the difference between an audit and a subscription?
An audit is a one-off structured review with a findings report and remediation plan. A subscription is ongoing support: updates, evidence sampling, partner Q&A, and continuous improvements.
Can we start with an audit and then move to subscription?
Yes. This is a common path: audit → remediation → ongoing subscription to maintain and improve the system.
Do you act as MLRO / Compliance Officer?
We can support the function and help design roles, reporting and escalation. Formal appointment depends on the jurisdiction and your governance structure.
Do you help with partner questionnaires and evidence packs?
Yes. We draft responses, prepare evidence packs, and align narratives with your operating model and transaction flows.
Need ongoing compliance support — or a structured audit?
Share your products, markets, client types, transaction flows and counterparties.
We will propose the best route: audit-first, subscription, or a combined approach.
We focus on operational compliance: evidence, controls and execution — not “paper only”.
Good fit for this service:
- Teams onboarding with banks/PSPs and institutional partners.
- Businesses preparing for licensing, audits or investor DD.
- Crypto/fintech companies scaling volumes and automation.
- Projects expanding to new markets or changing products.
We can start with an audit and move to subscription once the baseline is fixed.