Services

External compliance officer

As a financial institution, you need to have an effective and independent compliance function. The required knowledge and capacity are not always present, but the position must be filled with the right expertise. The deployment of an external compliance officer can offer a solution.

Effective, independent compliance function

Your daily practice is complex enough as it is. We like to make compliance a little simpler. You can contact Charco & Dique if you want to outsource your compliance function, or if you want support of advice for your compliance officer.

Our compliance specialists can fill in the compliance function independently and in a proportionate and sustainable manner. We do not use a ‘one size fits all’ approach, but take into account the size, maturity and structure of your organization.

What to expect from an external compliance officer?

As an external compliance officer, our activities include:

Monitoring the management of compliance risks and the compliance with obligations;
Informing proactively about developments in laws and regulations, the impact they have on your organization and the measures you need to take in response;
Advising on the management of compliance risks, implementation of laws and regulations and communication with regulators and (awareness) training;
Reporting periodically to the management board.

In this way, we ensure that you demonstrably comply with the laws and regulations applicable to your organization.

Interim compliance officer

If you have a temporary need for extra capacity, our compliance specialists are also at your disposal. You can call on us for:

replacing an employee who is on temporary leave;
filling a compliance vacancy on an interim basis;
managing a compliance department as interim manager.

Ruler compliance software

Based on the compliance cycle, our external compliance officers prepare a risk-based compliance program annually. The work is performed and recorded using compliance software Ruler.

More about Ruler