How Lysis Financial can help you transform you Client Lifecycle Management Process

Lysis Financial provides services across Governance, Risk and Compliance, including the design of Client Lifecycle Management (CLM), Client On-Boarding (COB) and Know Your Customer (KYC) target operating models, compliance policies and procedures.

We advise firms on the most effective operational strategy for executing CLM/COB/KYC given the firm’s geographical coverage and customer mix and develop Target Operating Models and Road-maps to achieve the agreed strategy.

Our holistic approach considers the following key focus areas:

  • Clients (number, location, complexity, service levels)
  • Organisation (people, structure, shared services strategy)
  • Controls (including governance, ownership, risk assessment, KPIs)
  • Products (type, complexity)
  • Technology (strategy, architecture, data)
  • Geography (Location strategy, network, communication)
  • Process (including workflow and information management)
  • Regulation, both current and future requirements

We are domain experts in AML, KYC, COB and CLM and have decades of experience of designing policies and writing supporting procedures to ensure compliance and operational efficiency.

We consider issues such as:

  • Three lines of defence, internal organisation and reporting lines.
  • Global efficiency versus local compliance.
  • The operational impact of different policy options.
  • Banking Secrecy and Data Security requirements.
  • The role of the policies, procedures and controls in the firm’s Enterprise Risk Management Framework (EWRMF).
  • The need to demonstrate “reasonable steps” under the UK’s Senior Managers’ and Certification Regime (SMCR). Our team includes former MLROs and compliance officers.

You can receive a copy of our whitepaper on “Operational & Technological Strategies to Streamline CLM and KYC Processes and Generate Efficiencies" by downloading it here.

If you would like to know more about how we can generate efficiencies in your CLM programme, please contact us on info@lysisfinancial.com.

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