Compliance & Risk Management

Compliance & Risk Management

Compliance & Risk Management

We provide outsourced compliance services to ensure that you are able to remain compliant with the rules and regulations set out by your local regulatory bodies. We can work with you to ensure that you have robust systems and controls in place and provide any additional compliance or risk management support that you may need. Our knowledgeable team specialises in compliance across multiple sectors ranging from asset management, private banking, investment banking and reinsurance.

This service is ideal for SMEs, those who are thinking of setting up in a new region, looking to consolidate an existing business, in need of temporary cover when there are unexpected staff absences or even for organisations that wish to undertake additional compliance training. 

Equiom’s managed compliance solutions are the perfect complement to any organisation and deliver considerable benefits to clients. Our hands-on experience means that we are able to help our clients develop and manage effective compliance programs to identify issues before they become violations.


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/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 and anti-money laundering (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:

  • the 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

Benefits of outsourcing your compliance function include: 

  • Access to a pool of subject matter specialists
  • Flexibility of scale – ability to resource up or down as needed
  • Reduces the burden on your internal infrastructure
  • Can help to reduce your operating costs 
  • Can address a short-term or long-term shortage of talent
  • Help to navigate the increasing number and complexity of regulations. 

Other related services

Locations offering Compliance & Risk Management

For location specific information on this service choose a location below

Not sure which Equiom office is right for your needs? Speak to one of our experts

Get in touch
Equiom quote/image

It’s important to us to understand what issues and outcomes our clients could face, and to make sure that we’re keeping them informed so that they are best placed to deal with whatever happens.

The Equiom Way
Matt Tabb, Chief Marketing Officer

Latest news

View all news
Equiom get in touch


Get in touch

If you have any questions, or would like to learn more about taking the next steps with Equiom, please select one of the options below.

Choose a location and contact the team Use our website form


Get in touch