We provide outsourced compliance services for institutional asset managers to ensure that you remain compliant with the rules and regulations set out by local regulatory bodies. We work with you to ensure robust systems and controls are in place and provide additional compliance or risk management support where needed. Our knowledgeable team specialises in compliance across multiple sectors from asset management to private and investment banking.
Equiom’s managed compliance solutions are the perfect complement to any organisation, delivering considerable benefits. Our hands-on experience means we help our clients develop and manage effective compliance programs to identify issues before they become violations.
This service is ideal for those thinking of setting up in a new region, looking to consolidate an existing business, in need of temporary cover for unexpected staff absences or even wishing to undertake additional compliance training.
Our compliance and risk management services include:
Providing suitable individuals to act as Compliance Officer and / or Money Laundering Reporting Officer (MLRO) on an outsourced basis
Training and mentoring or ad hoc support for an existing in-house compliance / anti-money laundering (AML) function
Assisting in preparation for regulatory risk assessments or responding to enforcement proceedings
Conducting mock interviews to prepare individuals for authorisation by the local regulator
Compliance and AML focused audits, reviews or special projects
Creating mandatory compliance, AML and counter terrorist financing materials
Delivering all aspects of compliance and AML training as required by the regulator
We provide advice and guidance on:
A firm’s ability to meet local regulatory requirements
The duties and responsibilities of Authorised Individuals
A firm’s policies, procedures, systems and controls
Regulatory risk assessments, thematic reviews or regulatory visits
The set-up of the compliance function and creating a strong compliance culture
Data protection advisory
Benefits of outsourcing your compliance function include:
Access to a pool of subject matter experts
A convenient and cost-effective way to address regulatory issues
Swift access to additional support in times of change, such as firms facing sudden growth and / or increased regulatory demands
Ease the burden on internal infrastructure
Address a short-term or long-term shortage of talent
Help to navigate complex and continually changing regulations
