COMPLIANCE SERVICES

Elevating Standards in CyberSecurity & Data Protection Compliance

AXIA COMPLIANCE SERVICES

Governance, Regulatory Risk and Compliance

AXIA Compliance work with financial institutions facing an increasingly strict and domineering regulatory environment, delivering bespoke programmes that provide risk assurance, information security, and regulatory compliance. We understand compliance is critical and offer our expertise clients in the everchanging demands of regulatory compliance in tandem with clients compliance needs around AI, ESG, Data Protectionand Cybersecurity.

Our Services

Regulatory Risk and Compliance Management

Regulatory expectations are evolving, requiring firms to adapt quickly. AXIA assist in:

Monitoring and implementing regulatory changes.
Aligning compliance frameworks with new requirements.
Supporting business expansion, mergers, and acquisitions.
Securing new regulatory licenses.

Governance

We help firms strengthen governance structures, ensuring robust oversight of risk management activities. Our approach includes:

Evaluating governance frameworks.
Identifying compliance gaps.
Enhancing conduct risk management.

Remediation Programs

We support firms in regulatory compliance remediation by:

Conducting risk assessments.
Implementing systems and controls.
Developing pragmatic policies that balance compliance with operational efficiency.

Resource Augmentation

Firms often need additional compliance support during critical periods. We provide:

Interim compliance professionals.
Business continuity and crisis management support.
Strategic advice on regulatory communications.

Our multidisciplinary expertise enables us to deliver tangible solutions for complex regulatory challenges providing effective solutions tailored to each client’s needs. We combine deep industry knowledge with hands-on support to ensure regulatory compliance and operational resilience.

Operational Resilience

Operational Resilience is currently the main key deliverable for financial firms within this years compliance calendar. With both the UK's Operational Resilience Self Assessment and the EU's Digital Operational Resilience Act (DORA) it is imperative that regulated firms seek expert knowledge and experience in order to satisfy operational resilience compliance requirements.

AXIA Compliance are operational resilience professional and designated DORA Certified Compliance Specialists who have worked with financial clients in helping them understand their unique requirements in order to devlop and implement robust ICT risk management frameworks, incident reporting mechanisms and digital operational resilience testing.

Additionally we have worked with UK firms in developing their operational resilience frameworks and testing of controls so that they are compliant for this years deadline.

We have also seen a conflation of UK Operational Resilience and DORA (the EU’s Digital and Operational Resilience Act), without much consideration as to what distinguishes one from the other. In simple terms, Operational Resilience concerns your UK license and operations, but DORA will also apply to UK-based entities that undertake any of the broad range of financial services activities performed in the EU captured by the Act. This will necessitate the need for robust ICT risk management frameworks, incident reporting mechanisms, and digital operational resilience testing.

How can AXIA Compliance help?

AXIA Compliance can help with all your Operational Resilience compliance needs

Operational Resilience is not a tick box exercise and whether you are a UK or EU firm we can bring an unsurpassed level of knowledge and expertise. We help bring dynamic changes to operational resilience for financial firms.

Implementing Operational Resilience requirements can be daunting and most firms are unsure about where to start. With our considerable knowledge and experience we recommend that your operational resilience journey starts in contacting AXIA Compliance as your trusted Consultants in successfully implementing your compliance frameworks.

Whether you have not started your operational resilience compliance, are currently struggling to progress with your compliance controls or have completed your framework and seek external assurances, then contact AXIA via 'Contact Us' below to remove any doubts and provide an conscienscious assessment of your operational resilience.

AXIA can provide differing combinations of services to create a bespoke model for Operational Resilience implementation that meets your organisation’s specific needs and ensures compliance.

Scalable pricing, tailored to your business

Every business is unique, so we offer tailored pricing to suit your business and regulatory needs. We recommend talking to our expert team who ensure you get the best value compliance proportional requirements.