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. 

Locations offering Compliance & Risk Management

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Our business success to date speaks volumes. We have a global vision with global connectivity and a great culture – and I think that really stands us apart from others.

The Equiom Way
Stephen Roberts, Global Chief Information Officer

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