Compliance and Internal Control

The financial sector has been challenged with a steady stream of new rules and regulations (LCB-FT, Anti-corruption, RGPD, Sapin 2, etc.).


Additionally, the digital transformation of the industry, led by challenger institutions and start-ups, often using emerging new technologies, requires a more proactive approach to reputational risk.

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To adapt to these new challenges, the regulatory authorities are imposing greater vigilance on internal control functions, making these roles de facto a vector of added value for the management, staff, as well as the internal supervisory bodies.


FiCoop Consulting offers a range of services covering the key topics to be addressed by the compliance and internal control functions, including:


  • Review of the relevance of risk levels in close collaboration with the company’s key stakeholders (management and business teams)
  • Analysis of systems and practices with respect to the regulations (risk classification, sanctions, TRACFIN declarations, etc.)
  • Implementation and follow-up of recommendations : internal audit plan and remediation plans
  • Review of the RACI and level 1 and 2 controls, challenging their completeness and effectiveness
  • The annual update of the Risk Assessment to closely monitor the company’s risks