Corporate and compliance advisory
Built on more than twenty years in legal and compliance at JPMorgan Chase, this service brings regulated-industry discipline to growing companies and smaller regulated firms. We help you set up across borders in an orderly way and build compliance frameworks that hold up when an auditor, a bank or a supervisor asks to see the evidence.
Who it’s for
- Companies expanding between Spain, the EU, the UK and the USA
- Smaller regulated or obliged entities that need their KYC, sanctions or AML framework reviewed
- Firms preparing for an audit, a regulatory exam or a bank’s due diligence
- Boards and leadership teams that want governance committees and policies that work in practice
Documents you’ll usually need
- Organisation chart and group structure
- Existing policies and procedures
- Risk assessments and control inventories
- Recent audit, exam or review findings
- Description of products, customers and jurisdictions
What we handle
Cross-border set-up coordination
Planning and coordinating entity set-up across Spain, the EU, the UK and the USA with local lawyers, notaries and accountants.
KYC and enhanced due diligence frameworks
Designing or reviewing customer due diligence procedures, risk scoring and enhanced due diligence for higher-risk relationships.
Sanctions and AML programme review
Reviewing screening, monitoring and escalation processes against your obligations and your actual risk profile.
Policies and procedures
Drafting and updating compliance policies and procedures that staff can follow and auditors can test.
Risk and control self-assessments
Running RCSAs, building risk and control inventories and setting up control-effectiveness monitoring.
Governance committees
Designing committee structures, terms of reference, reporting packs and escalation routes.
Audit and exam readiness
Evidence reviews, issue management and remediation tracking ahead of internal audits, regulatory exams or client reviews.
Last reviewed: Legal basis: Ley 10/2010 (AML/CFT) · Directive (EU) 2024/1640
Frequently asked questions
What does a compliance consultant do for a small regulated firm?
A compliance consultant reviews your obligations, your risks and your current controls, then helps you close the gaps with practical policies, procedures and monitoring. The aim is a framework your team can run day to day and evidence when asked.
What is the difference between KYC and enhanced due diligence?
KYC (know your customer) is the standard set of checks on who a customer is and what they do. Enhanced due diligence is the deeper review applied to higher-risk relationships — for example politically exposed persons or complex ownership structures — including source of funds and wealth.
What is a risk and control self-assessment (RCSA)?
An RCSA is a structured exercise in which a business identifies its key risks, maps the controls that mitigate them and assesses whether those controls are well designed and working. It produces an evidenced view of residual risk and a list of actions.
Can you help us set up a company in Spain from the US?
We plan and coordinate the set-up: sequencing the steps, gathering documents, liaising with the Spanish notary, lawyers and accountants, and keeping your team informed. The legal and notarial acts themselves are carried out by the qualified professionals in each country.
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