Compliance services

Compliance can be a burden. Even if you have a mature in-house compliance team there will be requirements or projects which need extra resources or specialist input. We have been helping financial services firms with compliance for 20 years. We work with firms of every size – from small fund managers with a handful of staff to multi-national banks.

Ongoing compliance support

Many of our clients rely on us for all their compliance needs. We track new regulations from any relevant body and can discuss with you how you are affected and what you need to do.

We can help with drafting policies and procedures and designing and delivering training programmes. And we can give you peace of mind that you’re meeting your regulatory commitments through rigorous compliance monitoring. We also have a team of prudential specialists who can either advise you on regulatory reporting or take it off your hands entirely.

Compliance resources when you need

Good compliance resources can be expensive and scarce. We can fill in gaps and give you additional capacity for short periods when workload is high, there is increased risk, or you have a regulatory review or project.

For smaller firms without their own compliance function, we support the management team so they can get on with what they do best. For larger firms we provide specialist skills and can fill resource gaps.

We can also provide seconded compliance experts to work as part of our clients’ in house teams – as de facto compliance officers, managers of compliance teams or technical experts for specific projects.

We give you peace of mind that your compliance set up is watertight and work with you to manage regulatory risk. Our people can be on the end of the phone or work in your office. And because we work across the industry, we know how others are reacting to new regulations.

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