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Compliance and Audit

Compliance, audit
and corporate governance.

We build and validate compliance systems that withstand external scrutiny and limit the personal liability of board members. From auditing control mechanisms to preparing for inspections.

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Experience gained in

and in the Central Investigation BureauCentral Anti-Corruption BureauMilitary Counterintelligence ServiceGROM Special Forces UnitPolice

This overview includes some historical data that supports our track record. We do not disclose the Delphi Consulting Group’s client list—for the same reasons we will not disclose your case.

Detailed Scope

Full spectrum of compliance – from diagnosis to implementation.

01

Audit of Control Mechanisms

A comprehensive review of existing mechanisms, identifying gaps, redundancies, and areas of elevated risk. Outcome: a report with prioritized recommendations.

02

Compliance and Ethics Systems

Design and implementation of ethical codes, violation reporting procedures, risk matrices, and compliance monitoring systems.

03

AML / KYC

Anti-money laundering procedures. Verification of clients, ultimate beneficial owners, and suspicious transactions. Compliance with UKNF and EBA requirements.

04

Whistleblower Protection

Implementation of whistleblowing systems compliant with EU Directive 2019/1937, including reporting channels, protection policies, handling procedures, and training.

05

ISO 31000 Risk Management

Design and implementation of a risk management framework, including risk matrices, registers, assessment methodologies, and integration with board decision-making processes.

06

Management of Anti-Corruption Activities ISO 37001

Design and implementation of an anti-corruption management system compliant with the ISO 37001 standard—including policies, corruption risk assessments, procedures, and control and oversight mechanisms.

07

Preparation for Regulatory Inspections

Support prior to audits by KNF, UOKiK, UODO, or external entities. This includes simulations, documentation, and staff coaching.

08

Development of Safety and Loss Prevention Systems

Designing and implementing loss prevention systems—from organizational and procedural safeguards to mechanisms for detecting fraud and protecting company assets and information.

Typical Client Scenarios

When to
Reach Out.

Announced Inspection

The organization has a few weeks to prepare. We deploy our team to conduct a simulation and eliminate critical gaps before the inspection visit.

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New Regulatory Requirements

Regulatory changes necessitate urgent system adaptation. We design an implementation roadmap, document processes, and train key personnel.

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Seller-Side Due Diligence

The company is preparing for a sale. We audit compliance proactively, before the buyer does, thereby eliminating risks that could reduce the valuation.

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Incident or Report

An internal report has been received. We are conducting an investigative procedure and designing a system to prevent recurrence.

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Related DCG Services
Business Intelligence Economic Investigations Training and Simulations

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