Internal audit

Mitigate risk exposures and achieve your objectives

Identify inefficient processes and areas of poor performance

Add value and improve your operations

Risk based approach

Solution tailored to your risk appetite, risk exposure, and business

Regulators across different jurisdictions are expecting license holders to embed the principles of the Three Lines Model into their controls, operations, and culture.

The Three Lines Model should be adapted to the needs and business priorities of license holders thereby facilitating the identification of structures and processes that best assist them in achieving their objectives, stronger governance, risk management and financial crime compliance. The internal audit function forms an integral part of the Three Lines Model.

Internal audit focuses on the wider concerns of regulated entities hence assisting them to mitigate risk exposures whilst achieving their objectives. An effective internal audit framework adds value and improves the operations of a regulated entity by integrating elements of control, risk management and compliance with the aim of helping it shape its governance structure. It identifies inefficient processes and areas of poor performance with the aim of achieving maximum effectiveness.

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Credit strategies services Digital asset fund services Exchange-traded products Fund of funds Hedge funds Hybrid funds Listed funds Listed Investment Companies Mutual funds Pension funds Private debt Private equity Real assets UCITS Venture capital Wealth administration services

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Global regulations tracker Outsourced regulated persons services

Services include

Risk appetite identification
Internal audit risk universe building
Risk assessments
Internal audit plan building
Analysis and testing of internal audit areas
Identifying control weaknesses
Presentation of board reports outlining identified weaknesses and recommendations for improvement
Follow-up on proposed recommendations and action plans

How can we assist

Apex Group combines its industry knowledge and risk-based approach to tailor internal audit solutions to your risk appetite, risk exposures and business operations.

Stay informed with Apex Group

If you would like to get in touch, please complete our enquiry form and a member of our team will get back to you.