Cerelexa
Compliance Work

Compliance work Cerelexa can perform

Each piece of work ends in an output your team can review, challenge and approve.

Know the risk
Understand what good looks like
Assess what you have
Identify the gaps
Build the remediation

Already have controls? Cerelexa assesses them. Starting without them? Cerelexa can design the governed baseline with your team.

Examples are representative only. Scope varies with the organisation, activity, product, jurisdiction and regulatory context.

Business context · Engine 01

What Cerelexa does

Cerelexa works with the business context you provide and builds a richer understanding as it works.

Representative output
ActivitiesProducts and customersJurisdictions

Risk assessment · Engine 02

What Cerelexa does

Assesses compliance risk in the context of how your business operates and considers available control evidence when proposing residual risk.

Representative output
RiskCauseInherentControlsResidual
Unsuitable adviceSale of complex productsHighSuitability assessment, adviser competenceMedium
Vulnerable customer harmSupport needs not identifiedHighVulnerability flags, escalationHigh

Evidence, reasoning and confidence available on review.

Gap identification · Engine 03

What Cerelexa does

Compares what should be in place with the organisation’s policies, procedures, controls and evidence.

Representative output
Expected controlCurrent positionGap
Outcome thresholds definedNo thresholds in policyConfirmed
Periodic product review3 of 5 evidencedConfirmed
Role training currentOne record incompleteEvidence gap

Remediation · Engine 04

What Cerelexa does

Turns confirmed gaps into practical remediation and drafts the work required for review and approval.

Starting from scratch? Cerelexa can show what good implementation can look like for your business and draft the supporting materials.

Representative output
  • Policy Add outcome thresholds and escalation
  • Control Introduce monthly outcome review
  • Procedure Define escalation and ownership
  • Training Guidance for control owners

Owner, target date and acceptance criteria included.

Regulatory change · Engine 05

What Cerelexa does

Determines what a regulatory development means for the organisation and translates applicable change into implementation requirements.

Representative output
Impact areaRepresentative change
People and governanceAccountability, training and oversight
IT systems and dataNew data fields or escalation triggers
Policies and controlsPolicy, process or control changes

Applicability: Applicable · Implementation priority: High

What changed. Where it lands. What needs to be implemented.

Product governance · Engine 06

What Cerelexa does

Performs product design, approval and periodic-review work across the product lifecycle.

Representative output
Review areaConclusion
Product designAppropriate
DistributionOne exception
Customer outcomesReview required

Recommendation: Continue with conditions.

Monitoring and assurance · Engine 07

What Cerelexa does

Prioritises where assurance is needed, tests the evidence and reaches a governed conclusion.

Representative output
Test resultOutcome
Pass36
Exceptions3
Inconclusive1

Control conclusion: Partially effective · Residual risk: High

Exceptions indicate delayed escalation and weak evidence.

Customer and counterparty compliance · Engine 08

What Cerelexa does

Performs due diligence, risk assessment and periodic review across the life of a customer or counterparty relationship.

Representative output
Review areaOutcome
Ownership and controlVerified
Adverse informationReview required
Jurisdiction exposureElevated

Proposed risk: Medium · Next review: 12 months

Market entry · Engine 09

What Cerelexa does

Maps the regulatory path for a new market or activity and assesses readiness against what needs to be in place.

Representative output
Requirement areaReadiness
PermissionGap
Regulatory rolesPartial
Application evidenceIn progress

Next: confirm permission scope. Requirements depend on the jurisdiction and activity.

See the work performed end to end
The guided demonstration shows how an output like these is produced, evidenced, reviewed and recorded.