Complyport is a trusted provider of Internal Audit services for regulated entities, including investment firms, payment institutions, electronic money operators, and other licensed financial services businesses. Acting as a ‘control function,’ we serve as the third line of defence, helping our clients strengthen governance, internal controls, and regulatory compliance. 

In delivering Internal Audit services, we: 

• Apply our extensive knowledge of regulatory frameworks and practical understanding of the financial services sector to perform periodic desk-based and on-site audit reviews, following a risk-based and proportionate approach. 

• Analyse client documentation, manuals, and processes to develop customised audit plans while reviewing internal policies against applicable laws and regulatory requirements. 

• Evaluate the adequacy and effectiveness of internal controls, operational processes, and compliance procedures in line with local regulations and international best practices. 

• Assess the alignment of operational practices with relevant legislation and regulatory expectations. 

• Identify and evaluate risks inherent in business operations and provide actionable recommendations for mitigation. 

• Conduct compliance checks on client onboarding, due diligence, and anti-money laundering (AML) controls. 

• Review data, information, and evidence to produce Internal Audit reports detailing key findings, control gaps, and improvement recommendations, which are communicated to senior management and boards. 

• Perform systems audit trail verification, evaluating the effectiveness, efficiency, and security of IT platforms, systems, and software to ensure accurate and reliable processing in line with regulatory standards. 

• Undertake special investigations requested by regulators, or ad-hoc audits relating to regulatory breaches, AML concerns, customer complaints, or other corporate incidents. 

• Deliver targeted assurance engagements in areas such as corporate governance, enterprise risk, fraud detection, and incident analytics. 

Our Commitment 

Complyport continuously adds value to clients by identifying weaknesses and risks, providing insights and recommendations, and supporting firms in enhancing their compliance and operational resilience. Our goal is to ensure that your business remains fully compliant with UAE regulatory requirements while maintaining robust governance and internal control standards. 

For further information or to discuss how our Internal Audit services can support your operations, please contact us.