Compliance | What We Do

This website uses cookies. Please click "Accept and Close" to accept the use of cookies on our website. By continuing to browse our website you consent to the use of cookies on this website.

For more information on how we use cookies please visit our Cookie Policy, or visit our Privacy Notice page for more information on how we manage and use data.

At FinTrU, we help financial institutions stay compliant with laws and regulations.

Our goal is to prevent regulatory breaches and ensure strong governance and control structures.

Surveillance
- Trade Surveillance
- Electronic Communications Surveillance
- Enhanced/Proactive Surveillance
- New System Testing Support
- Gap Analysis and Remediation
- Alert Monitoring
Compliance Assurance and Risk Assessments
- Compliance Assurance
- Compliance Risk Assessments
- Compliance Frameworks Testing
- Control Documents, Policies and Procedures Reviews
- Gap Analysis and Reporting
- Issue Tracking to Resolution
Information Barriers
- Misuse of Inside Information Detection and Prevention
- Restricted and Watch List Management
- Conflicts of Interest Reviews
- Research Clearance
- Chaperoning Communications
- Wall Crossing Solutions
Regulatory Implementation
- Regulatory Change Management Project Support Solutions
- Remediation Plan Design Solutions including Control Mapping, Gap Analysis, Review of Existing Documentation, Processes, Policies and Procedures
- Execution of Remediation Action Plans
- Regulatory Implementation Training Campaign Support

Rosalynd Smyth

Head of KYC & FinCrime

Rosalynd works with key stakeholders to identify and promote industry best practice, ensuring all clients’ KYC and Financial Crime needs are met.