FATCA Handover & Certification Support

We transition your FATCA reporting into business-as-usual, provide the operating handbook, train staff, stand up metrics/KRIs, and support the Responsible Officer (RO) through certification with a practical evidence pack and brief check.

Request a fixed-fee scope Back to FATCA Implementation & Redesign

Who it’s for

  • Reporting entities that completed Go-Live & Submission and need a clean BAU handover.
  • Teams preparing for RO certification who want a reviewer-ready evidence pack and concise briefing.
  • Institutions coordinating FATCA with QI and Internal Audit expectations on documentation and KRIs.

Handover into Business-as-Usual

Operating Handbook

  • End-to-end procedures & checklists
  • Roles/RACI, handoffs & SLAs
  • Runbooks for filings & corrections

Controls & KRIs

  • Control calendar (design & operation)
  • KRIs/thresholds & alerting
  • Reviewer checkpoints & sign-offs

Support Model

  • Roles & coverage (BAU/hypercare)
  • Query & incident playbooks
  • Defect/issue register templates

RO Certification Support

Evidence Pack

  • Design & operating control evidence
  • Sampling outputs & reconciliations
  • Submission receipts/ACKs & logs

RO Brief Check

  • Concise memo for RO sign-off
  • Residual risks & mitigations
  • Remediation tracker linkage

Portal Drafts

  • Draft wording for portal responses
  • Reference to evidence index
  • Reviewer-ready attachments
RO Certification Support (FATCA) Corrections & Re-filings

How we work

  1. 1) Handover planning

    Agree scope, roles, and dates; align documentation list and acceptance criteria with stakeholders/IA.

  2. 2) Documentation & training

    Finalize handbook, checklists, and templates; deliver role-based trainings and quick reference guides.

  3. 3) Evidence assembly

    Compile control/operation proofs, reconciliations, submissions, and corrections evidence into a single pack.

  4. 4) RO brief & support

    Run the RO briefing; provide portal wording drafts; respond to follow-ups with targeted extracts.

Deliverables you receive

Operating Handbook

Procedures, checklists, RACI, control calendar & KRIs, incident playbooks.

Evidence & Certification Pack

Design/operating evidence, reconciliations, ACKs, queries log, RO brief memo.

Training & BAU Setup

Role-based training sessions, Q&A, acceptance checklist and sign-offs for BAU.

Options & combinations

  • Independent or with Internal Audit: Align evidence and ratings to your IA methodology.
  • QI coordination: Combine FATCA & QI handover and certification support to reuse evidence.
  • Hypercare window: Extended post-submission support for queries and corrections.
Optional: QI Withholding & 1042-S Hardening Optional: Voluntary FATCA Review

What’s next

Annual cycle hardening

Retrospective, KPI/KRI tuning, automation of checks and dashboards.

Process improvements

Targeted fixes to data lineage, mappings, and exception workflows.

Independent reviews

Voluntary FATCA review or QI Periodic Review (if independent) for added assurance.

Back to Implementation & Redesign Hub QI Periodic Review (independent)