Zoe Dixon-Smith
Compliance Consultant. Baker Regulatory, Jersey
Zoe Dixon-Smith is a Compliance Consultant at Baker Regulatory Services.
Consultancy & Resources
Our consultants are equipped with a detailed understanding of rapidly evolving offshore regulations and best practice. We assist businesses to achieve compliance with financial regulation and minimise regulatory risks.
Problem
Keeping up to date and navigating rapidly evolving offshore regulations and best practice can be challenging and time consuming for regulated businesses.
Solved
Our highly experienced professionals are equipped with a detailed understanding of these requirements. They can draw upon their extensive knowledge and experience to identify problem areas and weaknesses and achieve solutions to meet your specific requirements.
Our goal is to assist financial services businesses to achieve compliance with Anti Money Laundering / Countering the Financing of Terrorism /Proliferation Financing (AML/CFT/PF) legislation, financial regulation and Sector Codes of Practice together with policies, handbooks and guidance issued by regulators and authorities. Through achieving compliance, your business can effectively manage the AML/CFT/PF threat and regulatory risks faced by businesses and individuals.
Consultancy services offered by Baker Regulatory Services
- Preparing for on-site examinations from the regulator.
- Remediation of regulatory findings.
- Assessing the effectiveness of compliance functions, compliance monitoring and transaction monitoring.
- Verifying that remediations have been completed satisfactorily.
- Supporting employment dispute investigations.
- Providing practical AML/CFT/PF compliance advice.
- Assisting with the preparation and review of Business Risk Assessments.
- Preparing Board requested skilled person reports.
- Delivering regulatory compliance monitoring assurance and oversight programmes.
- Managing civil financial penalty settlement negotiations.
- Delivering remediation and effectiveness training.
- Conducting civil and criminal fraud investigations.
- Assisting with preparation for a sale or merger.
- Undertaking due diligence on an acquisition target.
- Conducting a general regulatory health check.
- Conducting compliance monitoring.
- Drafting and updating policies and procedures.
- Conducting corporate governance reviews and delivering recommendations.
- AML/CFT/PF and regulatory risk training.
- An extension of your compliance team to support during busy periods.
Your support, experience and guidance in helping us through being referred to enforcement was invaluable and contributed to a positive outcome, the Board have asked me to convey their appreciation.