01 - Compliance Training

Our courses and sessions are tailored to your firm's specific policies, procedures, and regulatory requirements, ensuring relevance and interest. We provide comprehensive training for all staff, along with bespoke training sessions for any specific needs. Compliance doesn't have to be boring—we make sure it’s effective, engaging and specific to your businesses’s operations. Learn more in our brochure.

02 — Compliance audits and assurance reviews

We offer comprehensive compliance audits in financial crime and regulatory compliance, starting at £1500 for small businesses. Whether done internally or outsourced, a compliance audit is essential. Our audits provide a complete assessment of your business. Additionally, we offer compliance assurance reviews for specific components of your program, ensuring you meet your regulatory obligations. Learn more in our brochure.

03 — Writing policies & procedures

Your business is required to have policies and procedures in place to discharge regulatory requirements. We help firms with writing or reviewing their policies and procedures to make sure they cover all the relevant requirements.

We’ll spend some time getting to know your firm, and how you do things, so we can tailor your policies accordingly. Then we’ll send you a draft to approve and if there are substantial changes to your existing documents, we will provide you with a summary of key changes to circulate to staff, so they get the important information quickly. If you don’t have policies and procedures in place, then we’ll help draft them from scratch. For an indicative list of the policies and procedures we can help you draft, take a look here.

04 — Developing and implementing financial crime controls to protect your business from exploitation

We develop financial crime systems, control frameworks, and operating models that enhance your compliance framework. Our insights and cross-industry expertise help design and implement controls to protect your business. Partnering with financial and regulatory tech companies, we provide bespoke solutions to ensure compliance and reduce administrative burdens, allowing you to focus on business operations and profitability. Speak to us to learn more about how we can help you.

05 — Financial Crime Transformation or Remediation Programmes and Licensing

If your firm has faced enforcement action, we can help you resolve issues and get back on track by addressing non-compliance findings and regulatory actions. If your firm is seeking authorisation to become a licensed entity in the UK, we can help prepare your application and improve your chances of securing licensing.

06 — AdvEx Service

Exoriya Advisory offers pay-as-you-go services for short-term regulatory advice and guidance. We assess your needs and provide fixed-fee advice, eliminating the need for in-house compliance managers. Use our service anytime for compliance queries. Contact us to learn more about our AdvEx service arrangements. These arrangements can be tailored to the needs of your firm and therefore we’re happy to talk through what you need and then propose a service we can offer to help you.