Compliance work Cerelexa can perform
Each piece of work ends in an output your team can review, challenge and approve.
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
Cerelexa works with the business context you provide and builds a richer understanding as it works.
Risk assessment · Engine 02
Assesses compliance risk in the context of how your business operates and considers available control evidence when proposing residual risk.
| Risk | Inherent | Residual |
|---|---|---|
| Unsuitable advice | High | Medium |
| Vulnerable customer harm | High | High |
Evidence, reasoning and confidence available on review.
Gap identification · Engine 03
Compares what should be in place with the organisation’s policies, procedures, controls and evidence.
| Expected control | Current position | Gap |
|---|---|---|
| Outcome thresholds defined | No thresholds in policy | Confirmed |
| Periodic product review | 3 of 5 evidenced | Confirmed |
| Role training current | One record incomplete | Evidence gap |
Remediation · Engine 04
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.
- 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
Determines what a regulatory development means for the organisation and translates applicable change into implementation requirements.
| Impact area | Representative change |
|---|---|
| People and governance | Accountability, training and oversight |
| IT systems and data | New data fields or escalation triggers |
| Policies and controls | Policy, process or control changes |
Applicability: Applicable · Implementation priority: High
What changed. Where it lands. What needs to be implemented.
Product governance · Engine 06
Performs product design, approval and periodic-review work across the product lifecycle.
| Review area | Conclusion |
|---|---|
| Product design | Appropriate |
| Distribution | One exception |
| Customer outcomes | Review required |
Recommendation: Continue with conditions.
Monitoring and assurance · Engine 07
Prioritises where assurance is needed, tests the evidence and reaches a governed conclusion.
| Test result | Outcome |
|---|---|
| Pass | 36 |
| Exceptions | 3 |
| Inconclusive | 1 |
Control conclusion: Partially effective · Residual risk: High
Exceptions indicate delayed escalation and weak evidence.
Customer and counterparty compliance · Engine 08
Performs due diligence, risk assessment and periodic review across the life of a customer or counterparty relationship.
| Review area | Outcome |
|---|---|
| Ownership and control | Verified |
| Adverse information | Review required |
| Jurisdiction exposure | Elevated |
Proposed risk: Medium · Next review: 12 months
Market entry · Engine 09
Maps the regulatory path for a new market or activity and assesses readiness against what needs to be in place.
| Requirement area | Readiness |
|---|---|
| Permission | Gap |
| Regulatory roles | Partial |
| Application evidence | In progress |
Next: confirm permission scope. Requirements depend on the jurisdiction and activity.