Specialist Capabilities
Outsourced Compliance Provider Oversight
Outsource the operation without outsourcing your oversight.
01
Who this is for
- Institutions using outsourced KYC providers
- Companies with outsourced transaction monitoring
- Firms using outsourced screening providers
- Businesses needing independent provider oversight
02
The problem
- Outsourced provider performance unverified
- No independent oversight of provider quality
- SLA and KPI monitoring gaps
- Provider error rates unknown
- Regulatory expectation of outsourcing oversight
03
What Fintris does
- SLA monitoring and KPI assessment
- QA sampling of provider work
- Performance review and error analysis
- Escalation and backlog analysis
- Governance and staffing/capacity assessment
- Control effectiveness review
- Monthly provider performance reporting
- Remediation monitoring
04
Deliverables
- Provider performance report
- QA findings
- SLA and KPI assessment
- Error analysis
- Remediation recommendations
- Monthly management report
05
Benefits
- Independent assurance that outsourced compliance is performing
- Clear performance reporting for management
- Evidence of outsourcing oversight for regulators
- Identified provider weaknesses with remediation tracking
06
Engagement structure
- Monthly oversight retainer
- Quarterly provider review
- One-off provider assessment
FAQ
Frequently asked questions
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