Service 04
Compliance & AML
We help clients design, implement, and operate governance, risk and compliance frameworks — covering regulatory compliance, internal controls, financial crime (AML/CFT & sanctions), and tax transparency (CRS & FATCA).
Overview
Regulatory Precision. Commercial Pragmatism.
NOESIS supports investment firms, family offices, and corporates in building regulator-ready governance, risk and compliance frameworks. We deliver end-to-end compliance and financial crime programmes covering AML/CFT, sanctions, CRS, and FATCA.
Our approach spans risk assessment, policy and procedure development, implementation, training, and ongoing monitoring — strengthening internal controls, reducing regulatory and financial crime exposure, and improving audit and regulatory outcomes across DFSA, ADGM, and UAE Central Bank regulated entities.
Enquire About This Service
GRC Framework
Three Pillars of Our Compliance Practice
Governance & Controls
Design and implementation of robust governance and internal control environments that support regulatory compliance and operational accountability.
- Policy & procedures frameworks
- Delegation of Authority (DoA)
- RACI & committee governance
- Internal Controls over Financial Reporting (ICFR)
- Third-party & outsourcing governance
Risk Management
Enterprise-wide risk identification, assessment, monitoring, and mitigation aligned with board-approved risk appetite frameworks.
- Enterprise risk frameworks & risk registers
- Key Risk Indicators (KRIs)
- Operational risk & incident management
- Business continuity planning (BCP)
- Compliance risk assessments & gap analysis
Compliance, AML/CFT & Tax Transparency
End-to-end regulatory compliance, financial crime prevention, and tax transparency support across multiple jurisdictions.
- Regulatory obligations mapping
- AML/CFT programme design (CDD/EDD)
- Transaction monitoring & sanctions screening
- STR/SAR case management
- CRS & FATCA classification & reporting
Service Components
Our Compliance & AML Expertise
Regulatory Compliance Frameworks
Policies, procedures, and governance structures aligned with DFSA, ADGM, UAE Central Bank, and international regulatory requirements.
- Policies & Procedures
- Governance Structures
- Regulatory Alignment
- Compliance Calendars
AML/CFT Programme Development
Full AML/CFT programme design and implementation aligned with FATF recommendations and local regulations.
- AML System Design
- FATF Alignment
- Programme Implementation
- Risk Scoring
KYC / CDD / EDD Processes
Client onboarding frameworks, enhanced due diligence procedures, and ongoing customer risk monitoring.
- Client Onboarding
- Enhanced Due Diligence
- Ongoing Monitoring
- PEP & Adverse Media
Transaction Monitoring & Sanctions Screening
Sanctions screening governance, PEP monitoring, and suspicious activity detection and escalation.
- Sanctions Screening
- PEP Screening
- Suspicious Activity Detection
- Escalation Playbooks
Compliance Outsourcing & MLRO Services
Outsourced Compliance Officer, MLRO, and Deputy MLRO services for DFSA and ADGM regulated entities.
- MLRO Services
- Compliance Officer
- Deputy MLRO
- Regulatory Liaison
CRS & FATCA — Tax Transparency
CRS and FATCA classification, remediation, and annual reporting support for financial institutions.
- CRS Classification
- FATCA Compliance
- Annual Reporting
- Regulatory Submissions
Compliance Audits & Gap Analysis
Independent reviews of your compliance framework against current regulatory standards, with a detailed remediation roadmap.
- Independent Reviews
- Gap Analysis
- Remediation Planning
- Regulatory Readiness
Training & Awareness Programmes
Tailored AML/CFT and compliance training for boards, senior management, and frontline staff with certification support.
- Board Training
- Staff Programmes
- Certification
- Compliance Culture
STR/SAR Reporting & Regulatory Filings
End-to-end suspicious activity reporting, goAML submissions, and regulatory correspondence management.
- STR/SAR Filing
- goAML Submissions
- Regulatory Notices
- Compliance Reporting
Technology & RegTech Implementation
AML systems selection and implementation, screening tool configuration, and case management platform deployment.
- AML Systems
- Screening Tools
- Case Management
- RegTech Solutions
Ready to Begin?
Ready to Strengthen Your Compliance Framework?
Contact our regulatory compliance experts to discuss how we can help you build regulator-ready governance, risk, and compliance frameworks.
Schedule a Consultation