Compliance Advisory

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 come 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 mitigations plans to prevent future violations
  • Subject Matter Expert & Witness – Act as an expert witness in front of regulatory bodies or in hearings