ABM Global Compliance (UK) Ltd (“ABM”), a sister concern of ABM Consulting Group PLC, is a specialist regulatory compliance advisory firm, duly incorporated under the laws of the United Kingdom, with its registered office in London, United Kingdom. ABM provides comprehensive, jurisdictionally compliant advisory services to financial institutions, assisting them in navigating complex regulatory frameworks, ensuring full compliance with applicable statutes, regulations, rules, and guidelines, and maintaining robust governance, operational integrity, and risk management structures.
ABM delivers bespoke compliance solutions to a diverse client base, including, without limitation, banks, investment firms, fintech enterprises, insurance undertakings, brokers, payment institutions, and money service businesses operating across multiple jurisdictions. The Company’s advisory services are tailored to meet jurisdiction-specific regulatory requirements while facilitating alignment with internationally recognized standards, including those issued by regulatory authorities, supervisory bodies, and self-regulatory organizations.
Scope of Services
1. Regulatory Advisory Services
Conducting regulatory gap analyses, compliance impact assessments, and providing strategic and legal counsel on corporate governance, enterprise risk management, and the design and implementation of compliance frameworks.
2. Licensing Advisory & Application Support
Advising on licensing obligations, preparing and submitting applications to relevant regulatory authorities, engaging in ongoing liaison with such authorities, and providing post-licensing compliance monitoring and oversight.
3. Compliance Policies & Procedures
Drafting, reviewing, updating, and maintaining internal compliance policies, procedures, manuals, and frameworks, including, without limitation, anti-money laundering (AML), counter-financing of terrorism (CFT), know-your-customer (KYC), risk management, conduct of business, data protection, and corporate governance policies.
4. AML/CFT Program Design and Implementation
Designing, implementing, and monitoring AML and CFT programs, encompassing transaction monitoring, enhanced due diligence, customer onboarding processes, ongoing monitoring, record-keeping, and staff training initiatives in accordance with applicable laws and regulatory expectations.
5. Technology-Enabled Compliance Solutions
Advising on, integrating, and deploying technology-driven compliance systems, including automated monitoring platforms, risk analytics dashboards, reporting tools, and workflow management solutions to enhance operational efficiency and regulatory adherence.
6. Capital Markets Compliance
Providing advisory services and oversight in relation to trade surveillance, market abuse monitoring, insider trading detection, investment advisory compliance, portfolio management compliance, and regulatory reporting obligations.
7. Risk Management & Governance Services
Establishing enterprise-wide risk management frameworks, performing internal audits, conducting continuous risk assessments across operational, credit, market, and liquidity domains, and advising on governance structures to mitigate regulatory, operational, and reputational risks.
8. Independent AML/CFT Audits
Performing independent, detailed, and actionable assessments of AML/CFT programs, internal controls, policies, and procedures, identifying deficiencies, and recommending remedial measures to ensure regulatory compliance and operational effectiveness.
9. Regulatory Reporting Services
10. Ongoing Compliance Monitoring & Managed Services
Providing continuous, end-to-end compliance monitoring, advisory, and managed services to ensure sustained adherence to regulatory requirements, internal policies, and industry best practices.
ABM is committed to providing rigorous, technology-enabled, and jurisdictionally compliant compliance solutions that mitigate operational, regulatory, and reputational risks, strengthen governance and control frameworks, enhance operational resilience, and facilitate sustainable regulatory compliance on a global scale.