Compliance Advisory

At AESI, we know that risk-based compliance advisory and monitoring is the primary focus in the industry; we believe risk-based compliance advisory and monitoring is the primary focus in the industry, putting time and resources where the most significant risks exist. Regardless of the type of engagement, AESI assumes the role of a Virtual Auditor to identify any potential compliance risks or deficiencies in an unbiased and informative manner, while providing detailed recommendations for remediation and mitigation.

  • Ad-Hoc Advisory & Support Service – Imagine having additional staff and Subject Matter Experts (SMEs) on call and available when the need arises. AESI offers an Ad-Hoc Advisory & Support service to augment an organization’s compliance team. Our team will be available to respond to questions and any related compliance requests. The service is structured as a no-fee retainer with no upfront costs to the organization. Should the need arise, our SMEs will be present on-site for hands-on compliance support. The Ad-Hoc Advisory & Support service may include, but is not limited to:
    • Interpreting regulatory requirements
    • Providing and/or researching information on any regulatory compliance related topic
    • Creating or updating Internal Compliance Program policies, procedures and plans
    • Reviewing evidentiary items to demonstrate compliance
    • Responding to requests from regulatory bodies and Audit Support
    • Developing compliance implementation or mitigation plans
    • Other ad-hoc requests mutually agreed upon
  • Audit Support – Respond to audit notices, review and update audit submission packages, respond to Requests for Information (RFIs), act as a member of the compliance team
  • Registration, Certification, Deregistration – Confirm the requirements and need for registration, assist with certifications, build and present cases in support of deregistration
  • Regulatory Compliance Committee Representation – Act as an independent third party on internal committees, or represent the organization on external regulatory committees
  • Self-Reporting & Mitigation Plans – Confirm the need to self-report a potential violation of regulatory requirements and develop mitigation plans to prevent future violations
  • Subject Matter Expert & Witness – Act as an expert witness in front of regulatory bodies or in hearings