Alexandra Reip

Regulatory and compliance advice: She assesses the compliance readiness of financial services providers and their internal framework. This includes identifying gaps with regard to existing or impending regulatory requirements, reviewing policies and procedures, and assisting with the establishment of appropriate business and/or AML/CFT risk assessments. She shares best practice for operating robust governance, compliance and control frameworks.

Remediation/backlog support: Alexandra’s work consists of detailed AML/CFT “look back” reviews of customer files and transactions as well as testing compliance monitoring programs and internal controls. She applies a pragmatic approach in her recommendations to address weaknesses identified.

Merger and acquisition assistance: She provides regulatory buy-and-sell-side due diligence to trading companies and private equity firms. This includes an assessment of a business’ corporate governance, risk and compliance environment, operational controls and book of clients, and identifying potential risks to the transaction.

Forensic investigations: Alexandra provides dispute consulting and regulatory investigation services. Her projects undertaken to date cover: share and business valuation issues; inappropriate selling activities associated with financial products; insider trading; and investigations into potential non-compliance with regulatory obligations as a result of the regulator’s examinations.