Working remotely with Teal Compliance

The Legal Sector has reacted swiftly to the threat posed by Covid-19, many firms implementing the whole, or majority of the firm working from home within a few days.

As the UK enters a second phase of dealing with the pandemic, citizens will continue to observe social distancing and limit unnecessary movement.

In carrying out their Compliance Plan firms may need to make changes to protect their staff. Classroom training and onsite meetings will be challenging.

At Teal, the welfare of our staff and clients is our highest priority and so we will be offering all our services on a remote basis for the time being. We will provide the same high quality services, with interactive training and practical guidance through use of video conferencing services. We regularly work with clients to access files using their secure access, and we can arrange for files to be securely couriered to our team for file reviews and audits.

Compliance Reviews

 AML Review

Step 1: A full review of Word versions of your AML policies and procedures sent to us via email

Step 2: A three-hour Zoom video conference call to discuss your policies and procedures

Step 3: We will then compile and forward to you our recommended ‘to-do list’

Risk Review

Step 1: A full review of Word versions of your Risk policies and procedure

Step 2: A three-hour Zoom video conference call to discuss your policies and procedures

Step 3: We then compile and forward to you our recommended ‘to-do list’

 

Masterclasses

AML Masterclass can be delivered:

  1. Via a pre-recorded Webinar

  2. Live via a Zoom video call

  3. Via Teal Compliance’s e-learning programme (coming soon)

 

GDPR Masterclass can be delivered:

  1. Via a pre-recorded Webinar

  2. Live via a Zoom video call

  3. Via Teal Compliance’s e-learning programme (coming soon)

 

COLP Masterclass can be delivered:

  1. Via a pre-recorded Webinar

  2. Live via a Zoom video call

  3. Via Teal Compliance’s e-learning programme (coming soon)

 

Staff Compliance Training

All staff training courses can be delivered:

  1. Via a pre-recorded Webinar

  2. Live via a Zoom video call

  3. Via Teal Compliance’s e-learning programme (coming soon)

 

Our courses are:

  • AML Essentials

  • Source of Funds/ Source of Wealth

  • Top 10 Tips for AML Compliance

  • SRA Standards and Regulations

  • GDPR and Data Protection

  • Equality and Diversity

 

Audits

 

Anti Money Laundering Audit

Step 1: A pre-audit review of your AML policies and procedures

Step 2: Staff interviews beginning with a three-hour Zoom video call with the MLRO followed by a series of 30-minute interviews via Zoom video call with members of staff from each of your regulated departments and the Accounts Team.

Step 3: File reviewing – reviews of a selection of live and closed files from each regulated department, per office which can be either:

  1. Accessed remotely via your VPN (access needed for 48 hours maximum);

  2. Accessed via paper files couriered to Teal Compliance (48-hour turnaround)

 

Step 4: End of review Zoom video call with your MLRO

 

Step 5: We will prepare and submit a Draft Report which will be followed up with a Zoom video call to discuss any recommendations made.

Compliance Gap Analysis

Step 1: A pre-audit review of your AML policies and procedures

Step 2: Staff interviews beginning with a three-hour Zoom video call with the COLP followed by a series of 30-minute interviews via Zoom video call with members of staff.

Step 3: File reviewing – reviews of a selection of live and closed files from each department, per office which can be either:

a.            Accessed remotely via your VPN (access needed for 48 hours maximum);

b.            Accessed via paper files couriered to Teal Compliance (48-hour turnaround)

Step 4: End of review Zoom video call with your COLP

Step 5: We will prepare and submit a Draft Report which will be followed up with a Zoom video call to discuss any recommendations made.

Feel Safe, Call Teal

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Teal Compliance Ltd, Registered Office, Spark Studio, 208 Great Clowes St, Salford M7 2ZS
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