Global Know Your Customer TOM

Client Challenge:​

Introduce a Wholesale Markets Treasury and Trading on boarding function connected to the business with full implementation, support and training. Implementation of Client Money rules (CASS). Clear backlog of unreviewed/unapproved files in the KYC / due diligence area

What we did:​​

  • Significant cleansing and remediation exercises to ensure integrity​
  • Clear backlog records and introduce a workflow with proper escalation channels as priority​
  • Design, implement and support Due Diligence Target Operating ​
  • Draft, socialise and drive approval for KYC and AML policy


  • Successfully cleared all backlogs. Subsequently requested for further projects including:​
  • Drafting of AML related policies, Group wide and ongoing guidance on MiFID (classification), Managed several remediation teams following design and implementation​
  • Set up and managed the on boarding function​