INTELLIGENCE & INVESTIGATIONS
Our Intelligence and Investigations practice supports clients with a wide range of needs including third-party integrity management, KYC / due diligence and internal investigations services.
Third-party integrity management
Our clients face several challenges in managing their third-party risks, from corruption, to financial crime, to human rights or other SDG-related issues. To address these risks, we design specific processes seamlessly integrated in our clients’ operations.
- We take the time to understand clients’ specific third-party integrity risks and existing transactions flows.
- We identify the most suitable process to adequately mitigate such risks, supported by appropriate tools and staffing.
- We deploy teams of investigators and analysts to operate third party integrity management as a service on their behalf.
- We work as an extension of in-house teams. We integrate our process into clients’ existing transaction flows to automate it as much as possible and ensure that escalation of exceptions is brought up at the right level.
case study
SCENARIO
A major commodity trading company wished to outsource its third-party due diligence process in order to free up time for its in-house compliance team. Kalexius designed an updated process and deployed a team of 6 FTEs to operate the client’s third-party due diligence process as an outsourced service.
OUTCOMES
The client achieved significant cost savings on third party management while freeing up time for its compliance team to focus on their core activities.
Kalexius cleared the existing backlog and implemented an annual review of all relevant relationships in order to maintain compliance on an ongoing basis.
SCENARIO
An international member-based organization needed to improve the granularity of its visibility on sanctions regimes impacting its stakeholders (individuals and legal entities). Kalexius’ expert re-designed the on-boarding and continuous monitoring processes for stakeholders by incorporating detailed sanctions-checks.
OUTCOMES
The new process had limited impact on operations while adding little to no cost to the existing transaction flows.
The organization was able to isolate its exposure to sanctions regimes as they were updated, on a real time basis, taking informed decisions, managing its relationships both compliantly and strategically.
KYC / DUE DILIGENCE
INTERNAL INVESTIGATIONS
Improvised investigations expose organizations to further risks of non-compliance and reputation damage. Hence, internal investigations policies, processes and approaches need to be defined before allegations or suspicions are raised. The investigation process needs to be seemingly integrated with the whistleblowing process.
- We build our client’s capacity to appropriately handle allegations or suspicions of misconducts.
- We conduct internal investigations of suspected or alleged misconduct, including fraud, corruption, insider trading, discrimination and harassment.
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