Risk and Compliance
A trusted partner to support risk management
In an economic environment marked by uncertainty and accelerating change, risk management has become an essential strategic tool for ensuring growth and optimizing business performance.
Our Expertise
Risk and Compliance
From diagnosis to project management for business or regulatory transformation initiatives, including the preparation of inspection assignments and interim management to ensure operational continuity.
PROJECT MANAGEMENT
- Regulatory Compliance
- Deployment of LOD1/LOD2 Control Devices
- Support for the integration of IT tools: compliance analysis, requirements specification, selection of service providers
- Changes: Mergers of entities, reorganization of the control system
- Remediation Projects Following an Audit, Order, or On-Site Inspection
- Process optimization, operational efficiency, simplification/automation of the control system
- Evolution of Governance
- Organization of the Internal Control System: identifying stakeholders, assessing needs, and developing job descriptions
- Overhaul of control and compliance systems
ORGANIZATION
ENVIRONMENTAL JOURNAL
- Diagnosis, Quick Audit
- Organizational Audit
- Mapping Operational and Non-Compliance Risks
- Preparation for inspection assignments: review of procedural guidelines, formalization of controls, and preparation for interviews with executives and key personnel
- Updating and Implementing Second-Level Continuous Monitoring Plans
- Regulatory Reporting: RACI, RACI AML/CFT, QLB, QPC
- Maintenance of Procedural Corpora
OUTSOURCING
TRAINING
- LOD1 Culture
- Best Practices in Place
- Sharing Feedback
- Change Management Support
Our Areas of Expertise
We support organizations across all sectors by providing them with in-depth expertise in risk management to help them effectively identify, assess, and manage all of their risks—including strategic, operational, financial, regulatory, and technological risks.
- Financial Security: KYC/KYS/KYT, AML/CFT, Sanctions & Embargoes
- Client Protection: MiFID II, DDA, PRIIPS, RIS, Management of Vulnerable Clients
- Market Activities: MAD/MAR, MiFIR, FinDatEx Standards
- Professional Ethics: Sapin 2, Duty of Care, CS3D, Conflict of Interest Management, Governance
- Data Protection: GDPR, AI Act
- Sustainable Finance: SFDR, MiFID II, CSRD, Taxonomy
- Risk Management: PSEE, Risk Mapping
References for Completed Projects
Comprehensive Review and Update of a Wealth Manager’s Financial Safety Net
Change Management as Part of a Private Bank’s Transformation Plan
Overseeing the rollout of the LOD1 central control plan across 25 international entities
Scope of the KYC project as part of the integration of an entity and its international subsidiaries
Assessment of Compliance with Outsourcing Requirements
Interim Management for the Compliance Function to Support the Current Executive
Our recent publications
How can iQo support you?
iQo is a new player in the consulting sector, whose mission is to "unleash collective genius to co-construct desirable futures".
- Our firm offers a unique approach to co-construction with our customers.
- We advocate the hybridization of skills and know-how
- We offer you small, agile teams that are sincerely committed to working alongside you, as an extension of your teams.
- We are “makers” and offer practical, results-oriented solutions tailored to your
specific needs - We are committed: iQo is a mission-driven company that is ISO 14001 certified.
