Compliance, Audit & Regulatory
Our services in the area of Compliance, Audit & Regulatory
Our compliance experts will advise you individually on the development, implementation, evaluation and execution of holistic and sustainable compliance programmes.
- Setting up/implementing a Compliance Management System
- Compliance with laws, ethical standards, etc.
- Establishing and reviewing whistleblowing and ombudsman systems
- Compliance-sustainability topics
- Holistic compliance management system: from implementing and testing to reporting
Internal Audit at Wavestone: your third line of defence and first point of contact in critical situations.
Today’s risk landscape is more complex and interconnected than ever before – a perfect environment for Internal Audit (IA) to realise its full potential. Internal audit supports the executive board and management in their monitoring function and at the same time strengthens the trust of companies and their stakeholders in their employees, processes and systems. In addition, internal audit enables new assessments of risk, faster responses and improved decision making.
Internal Audit offers a unique combination of objectivity, independence, risk awareness and organisational reach. At Wavestone, we believe that with the right vision and approach, IA can act as a “compass”. It helps organisations navigate a rapidly changing and uncertain environment and operate successfully through foresight.
- External Quality Assessments (EQA): Certification and benchmarking of the internal audit function
- Consulting or transformation of the internal audit function: establishment of the internal audit function, development of an internal audit strategy, development of the audit universe and the audit plan, restructuring of the internal audit function, interim management.
- Audit performance: individual commissioning, co-sourcing, outsourcing
- Training seminars: Organising numerous seminars on internal audit on behalf of the DIIR
Here you can find an overview of the subject areas and the corresponding companies in which we can support you:
- Compliance Officer (MaComp; MaRisk; VAG – also key function)
- Data protection officer
- Information Security Officer
- Outsourcing Manager
Here you will find an overview of the areas in which we can support you:
- Data protection, information security, AI, open source
- Compliance concepts for digital topics, specific processes and applications in agile or traditional projects
- Digital compliance auditing and consulting in accordance with industry standards (ISO 27001, ISO 37301, BSI SDM) or regulatory requirements (AI/Data/Digital Services Act, xAIT, DORA, GDPR, NIS2)
We provide the following outsourcing management services:
- Definition and implementation of legal and regulatory requirements throughout the outsourcing lifecycle
- Operational support and advice on carrying out risk analysis and other activities as part of the outsourcing process
We approach outsourcing from regulatory and strategic IT management perspectives.
Our experts can support you in the following areas, among others:
- Identify money laundering, sanctions and embargo risks
- Developing and optimising compliance programmes to ensure adherence to regulatory and business policy requirements
- Reviewing business processes, assets and financial transactions
- Planning and delivery of staff training programmes
Can we help you with your Compliance challenges?
With WAVESTONE, you have a strong partner at your side.
We look forward to your challenge!