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EisnerAmper Ireland | Compliance & Risk Support Services | Risk & Regulatory Services Ireland

EisnerAmper Global

Compliance & Risk Support Services

Our dedicated Risk & Regulatory Group delivers Compliance & Risk Support Services to Pre-Approval Controlled Function (PCF) Holders.

Our specialist Compliance & Risk Support Services enable you to:

  • Focus on your core business activities while fulfilling your compliance and regulatory requirements;
  • Access and utilise industry leading compliance and regulatory expertise;
  • Enhance your compliance and risk management structures, policies and procedures;
  • Deliver on your regulatory preparedness projects;
  • Focus on your core business activities; and
  • Achieve demonstrable regulatory compliance.
Our Compliance & Risk Support Services typically include:

Structure & Framework

  • Development of Compliance and Risk Structures and Frameworks;
  • Review and/or development of Compliance Policies;
  • Review and/or development of Assurance, Monitoring, Testing;
  • Review/Re-Define the Scope of your Compliance Team;
  • Review and/or development of Compliance Logs / Trackers / Registers;
  • Review and/or development of Communications & Reporting Plan; and
  • Review and/or development of 1st Line Query Management process.

Planning & Management

  • Compliance Planning & Calendaring;
  • Review and/or develop Compliance Management Information;
  • Review and/or develop Board Reporting – Planning & Structure; and
  • Ad Hoc Advice & Support as required.

Monitoring & Support

  • Compliance Monitoring – Assurance, Monitoring, Testing of Compliance Control Standards;
  • Assessment of Priorities – Plan / Timeline / Actions & Owners;
  • Regulatory Engagement & Supervision Support; and
  • Review and/or development of Breaches Register & Reporting; Complaints Register & Reporting; Data Subject Rights Register & Reporting.

Regulatory Change & Projects

  • Regulatory Change & Project Management;
  • Monitoring Upstream Regulation;
  • Board Reporting on Impacts of Regulatory Change;
  • Regulatory Change Planning & Management;
  • Regulatory Change Project Management;
  • Regulatory Change Gap Analysis; and
  • Industry Best Practices & Standards.

Compliance Training

  • Design, development and delivery of Compliance Training.
Compliance & Risk Support Services Case studies

Below are some examples of how we have helped our clients:

Investment Services (MiFID) & Stockbroking
Investment Services (MiFID) & Stockbroking

A large MiFID firm and member of the Irish Stock Exchange engaged EisnerAmper to perform a regulatory Gap Analysis against regulatory requirements, review the compliance function of the Firm, and to provide PCF-12 Head of Compliance support services.

This engagement involved a Partner-led team onsite, working on a range of compliance function responsibilities, regulatory preparedness projects (e.g. MiFID II, PRIIPS, GDPR) and policy and operational development to enhance how the Firm manages its compliance risks and provides appropriate structures, policies and procedures to enable successful, demonstrable compliance with regulatory requirements.

Our engagement activities included:

  • Performing a gap analysis exercise to ascertain compliance with regulatory requirements (MiFID II); (MiFID II);
  • Reviewing the Compliance function and related arrangements;
  • Leading the MiFID II implementation project to a successful conclusion;
  • Liaison with the CBI and other regulatory bodies as necessary to fulfil the role and to support the Company and Management team;
  • Leading the GDPR project through to implementation, revising the policy suite for data protection and related aspects, providing training to staff on practical implementation matters, and monitoring compliance with requirements as they emerge; and
  • Representing the Company at the Irish MiFID Industry Association.

As a result of engaging with EisnerAmper Ireland the large MiFID firm achieved demonstrable compliance with appropriate regulation and continues to avail of on-going support from market leading specialists.

UCITS Management Company
UCITS Management Company

A UCITS investment company was seeking to enhance their compliance function and engaged EisnerAmper to provide overall management and monitoring of their compliance and risk frameworks.

EisnerAmper currently provides UCITS investment company’s PCF-39 Designated Person Responsible for Regulatory Compliance role-holder support services. Specifically, our services include but are not limited to:

  • Implementing and managing a risk-based compliance monitoring program;
  • Overseeing licensing requirement and regulatory obligations for the business and PCF role holders, liaising with the regulator and other appropriate authorities as required;
  • Overseeing outsourcing arrangements;
  • Review of client AML in accordance with the company’s periodic client review process;
  • Assisting with ad hoc AML queries from operations staff;
  • Support the MLRO as required;
  • Maintaining appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and monitoring adherence to such procedures;
  • Monitoring and advising on local and global regulatory developments and on their potential impact;
  • Providing advice and training to staff on regulatory compliance matters to ensure compliance with obligations;
  • Implementing group wide risk and compliance initiatives locally;
  • Monitoring the implementation of policies and procedures for preventing malpractices, including those that might reasonably be expected to affect adversely the stability and integrity of the market; and
  • Monitoring compliance with regulatory requirements applicable to conduct of business activities so as to promote the best interests of the UCITS and AIFs or the investors of the UCITS and AIFs they manage and the integrity of the market.

As a result of engaging with EisnerAmper Ireland, the UCITS investment company now has improved compliance and risk frameworks that are expertly monitored and managed by industry leading partners.

Get specialist Compliance & Risk Support Services request a callback now:





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