Compliance & Risk Management

Compliance & Risk Management

Compliance & Risk Management

We provide outsourced compliance services 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 ranging from asset management, private banking and investment banking.

This service is ideal for SMEs, as well as 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. 

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.

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:

  • 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

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

Other related services

Locations offering Compliance & Risk Management

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We’re committed to establishing Equiom as an employer of choice within our industry. Our flexible working culture is built on trust and connection. Good communication and collaboration enables everyone to balance their work and home lives.

The Equiom Way
Sarah Gomersall, Chief People Officer

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