Risk Rating Methodologies & Compliance Policies and Procedures
Designing and embedding effective, risk-based compliance frameworks
Lysis Group specialises in building risk rating methodologies and compliance policies that are both regulatory-aligned and operationally effective. We support financial institutions, digital asset firms, fintechs and regulated businesses in designing bespoke frameworks that accurately identify, measure and mitigate financial crime and regulatory risk across their operations.
Our experienced consultants ensure that compliance isn’t just about meeting expectations—it’s about building confidence and resilience into the way your business operates.
Risk Rating Methodologies
A robust customer risk rating methodology (RRM) is foundational to effective compliance and financial crime prevention. We help clients design, review and optimise RRMs that:
• Accurately reflect inherent and residual risk across customer types, geographies, products and channels
• Align with regulatory expectations (FCA, CBoI, EU AML Directives, FATF)
• Inform onboarding, due diligence, monitoring and escalation decisions
• Are tailored to the business model, risk appetite and regulatory footprint of the firm
• Can be integrated into CLM platforms and operational workflows
• Are tested, calibrated and governed effectively
We have delivered RRMs for retail banks, crypto exchanges, private banks and asset managers—ensuring both simplicity in use and strength in control.
Compliance Policies & Procedures
We design, review and enhance end-to-end compliance policies and procedures that are:
• Aligned to the business risk assessment and regulatory requirements
• Scalable and operationally effective across jurisdictions and product lines
• Embedded into the firm’s governance and control frameworks
• Clear, concise and easily understood by first-line users
Our team supports the full policy lifecycle, including:
• AML, CTF & Sanctions policies
• Financial crime prevention standards
• Customer due diligence (CDD) and enhanced due diligence (EDD) procedures
• Transaction monitoring, PEPs & sanctions screening procedures
• Training & awareness documentation
• Policy governance frameworks and review schedules
Recent Experience
• Developed and implemented an RRM for a global crypto exchange across multiple jurisdictions
• Delivered a full suite of AML and compliance policies for an FCA-registered digital asset firm
• Conducted policy gap analysis and remediation for a Tier 1 private bank
• Supported the rollout of new procedures across multiple business lines for a global wealth manager
• Assisted multiple firms with authorisation submissions by developing regulatory-compliant policy suites
Why Lysis?
Lysis Group combines deep regulatory knowledge with operational insight. Our consultants understand how policies, procedures and methodologies work in practice—not just on paper. We work closely with our clients to ensure frameworks are understood, adopted and effective across the first and second lines of defence.
Whether you’re seeking regulatory authorisation, remediating findings, or strengthening your existing framework, Lysis Group provides the expertise to ensure your compliance infrastructure is risk-based, practical and defensible.
Risk Rating Methodologies & Compliance Policies and Procedures
Designing and embedding effective, risk-based compliance frameworks
Lysis Group specialises in building risk rating methodologies and compliance policies that are both regulatory-aligned and operationally effective. We support financial institutions, digital asset firms, fintechs and regulated businesses in designing bespoke frameworks that accurately identify, measure and mitigate financial crime and regulatory risk across their operations.
Our experienced consultants ensure that compliance isn’t just about meeting expectations—it’s about building confidence and resilience into the way your business operates.
Risk Rating Methodologies
A robust customer risk rating methodology (RRM) is foundational to effective compliance and financial crime prevention. We help clients design, review and optimise RRMs that:
• Accurately reflect inherent and residual risk across customer types, geographies, products and channels
• Align with regulatory expectations (FCA, CBoI, EU AML Directives, FATF)
• Inform onboarding, due diligence, monitoring and escalation decisions
• Are tailored to the business model, risk appetite and regulatory footprint of the firm
• Can be integrated into CLM platforms and operational workflows
• Are tested, calibrated and governed effectively
We have delivered RRMs for retail banks, crypto exchanges, private banks and asset managers—ensuring both simplicity in use and strength in control.
Compliance Policies & Procedures
We design, review and enhance end-to-end compliance policies and procedures that are:
• Aligned to the business risk assessment and regulatory requirements
• Scalable and operationally effective across jurisdictions and product lines
• Embedded into the firm’s governance and control frameworks
• Clear, concise and easily understood by first-line users
Our team supports the full policy lifecycle, including:
• AML, CTF & Sanctions policies
• Financial crime prevention standards
• Customer due diligence (CDD) and enhanced due diligence (EDD) procedures
• Transaction monitoring, PEPs & sanctions screening procedures
• Training & awareness documentation
• Policy governance frameworks and review schedules
Recent Experience
• Developed and implemented an RRM for a global crypto exchange across multiple jurisdictions
• Delivered a full suite of AML and compliance policies for an FCA-registered digital asset firm
• Conducted policy gap analysis and remediation for a Tier 1 private bank
• Supported the rollout of new procedures across multiple business lines for a global wealth manager
• Assisted multiple firms with authorisation submissions by developing regulatory-compliant policy suites
Why Lysis?
Lysis Group combines deep regulatory knowledge with operational insight. Our consultants understand how policies, procedures and methodologies work in practice—not just on paper. We work closely with our clients to ensure frameworks are understood, adopted and effective across the first and second lines of defence.
Whether you’re seeking regulatory authorisation, remediating findings, or strengthening your existing framework, Lysis Group provides the expertise to ensure your compliance infrastructure is risk-based, practical and defensible.
Risk Rating Methodologies & Compliance Policies and Procedures
Designing and embedding effective, risk-based compliance frameworks
Lysis Group specialises in building risk rating methodologies and compliance policies that are both regulatory-aligned and operationally effective. We support financial institutions, digital asset firms, fintechs and regulated businesses in designing bespoke frameworks that accurately identify, measure and mitigate financial crime and regulatory risk across their operations.
Our experienced consultants ensure that compliance isn’t just about meeting expectations—it’s about building confidence and resilience into the way your business operates.
Risk Rating Methodologies
A robust customer risk rating methodology (RRM) is foundational to effective compliance and financial crime prevention. We help clients design, review and optimise RRMs that:
• Accurately reflect inherent and residual risk across customer types, geographies, products and channels
• Align with regulatory expectations (FCA, CBoI, EU AML Directives, FATF)
• Inform onboarding, due diligence, monitoring and escalation decisions
• Are tailored to the business model, risk appetite and regulatory footprint of the firm
• Can be integrated into CLM platforms and operational workflows
• Are tested, calibrated and governed effectively
We have delivered RRMs for retail banks, crypto exchanges, private banks and asset managers—ensuring both simplicity in use and strength in control.
Compliance Policies & Procedures
We design, review and enhance end-to-end compliance policies and procedures that are:
• Aligned to the business risk assessment and regulatory requirements
• Scalable and operationally effective across jurisdictions and product lines
• Embedded into the firm’s governance and control frameworks
• Clear, concise and easily understood by first-line users
Our team supports the full policy lifecycle, including:
• AML, CTF & Sanctions policies
• Financial crime prevention standards
• Customer due diligence (CDD) and enhanced due diligence (EDD) procedures
• Transaction monitoring, PEPs & sanctions screening procedures
• Training & awareness documentation
• Policy governance frameworks and review schedules
Recent Experience
• Developed and implemented an RRM for a global crypto exchange across multiple jurisdictions
• Delivered a full suite of AML and compliance policies for an FCA-registered digital asset firm
• Conducted policy gap analysis and remediation for a Tier 1 private bank
• Supported the rollout of new procedures across multiple business lines for a global wealth manager
• Assisted multiple firms with authorisation submissions by developing regulatory-compliant policy suites
Why Lysis?
Lysis Group combines deep regulatory knowledge with operational insight. Our consultants understand how policies, procedures and methodologies work in practice—not just on paper. We work closely with our clients to ensure frameworks are understood, adopted and effective across the first and second lines of defence.
Whether you’re seeking regulatory authorisation, remediating findings, or strengthening your existing framework, Lysis Group provides the expertise to ensure your compliance infrastructure is risk-based, practical and defensible.
