Services / Financial Crime
AML, CTF & sanctions
Financial crime
Proportionate, practical financial crime frameworks for regulated firms — from risk assessment and controls design to MLRO support — drawing on deep experience of AML/CTF, sanctions and surveillance in investment management.
Areas of support
What support can include
Scope is agreed with each firm; the items below are illustrative rather than a fixed package.
- Business-wide and customer financial crime risk assessments
- AML/CTF policies, controls and operating procedures
- MLRO support and senior financial crime capacity (including SMF17), where appropriate and agreed
- KYC / customer due diligence and enhanced due diligence (EDD) frameworks and file review
- Sanctions and PEP screening frameworks, calibration and review
- Source of funds and source of wealth methodology
- Transaction monitoring design, tuning and review
- Suspicious activity reporting (SAR) processes and governance
- Financial crime training and awareness for staff and senior managers
- Financial crime health checks, gap analysis and remediation
A note on SMF17 / MLRO support
SMF17 / MLRO support is considered separately from SMF16 support, and only where the firm’s financial crime risk profile, operating model, reporting lines, information access and escalation arrangements are suitable. Any SMF17 arrangement is subject to separate scope, agreement, applicable regulatory requirements and FCA approval where required.
How it works
A clear, structured process
Assess the risk
Build or refresh business-wide and customer risk assessments that reflect the firm’s clients, products and jurisdictions.
Design proportionate controls
Translate the risk picture into workable policies, screening, due diligence and monitoring arrangements.
Test & remediate
Review files and controls against requirements, and prioritise practical remediation.
Embed & train
Support governance, reporting and staff training so the framework operates and is evidenced.
Scope & regulatory boundaries
Bishopsgate Vector is not authorised or regulated by the Financial Conduct Authority. It does not provide investment advice, manage investments, arrange investments or hold client money.
Where support relates to a Senior Management Function, including SMF16 (Compliance Oversight), any arrangement is subject to appropriate client agreement, defined role scope, applicable regulatory requirements and FCA approval where required. Client firms remain responsible for their own regulatory obligations.
Next step
Arrange an introductory discussion
A short, confidential conversation to understand your firm, your regulatory context and where experienced compliance support would add value.