The definition of compliance is to adhere to rules and regulations. Financial companies must comply with laws and regulations which are applicable to their specific business. A compliance officer’s role is to ensure that business is conducted in accordance with applicable rules and regulations. The compliance officer shall, among other things, draft, revise and support the implementation of internal guidelines and instructions, as well as control, identify and report non-compliance. A compliance officer not only oversees compliance activities, but shall also educate employees and senior management including the Board of Directors.
Apriori serves as a compliance officer for financial companies and is registered as a compliance officer with the Swedish FSA. We also support in-house compliance officers and perform independent controls and/or gap analyses.
Apriori gains insight and understands each client’s specific business. We accomplish this by conducting compliance reviews and services at each client’s office as needed. Apriori transfers knowledge and shares updates regarding financial rules and regulations with its clients on a regular basis.