Services

Compliance Resourcing Solutions

Remaining compliant with ever evolving regulatory standards requires expertise, experience, knowledge and time. Increasing liability and expense for senior compliance and money laundering staff makes suitable and qualified talent a scarce resource indeed.

Complyport’s resourced compliance services offer you a bespoke, guaranteed service at a fixed price. Our experienced compliance experts can cover all the key tasks and functions relating to the Compliance Oversight Function (SMF16) and Money Laundering Reporting Officer (SMF17), and our service can adapt to fit your firm’s requirements.

Accessing our compliance experts

Complyport’s wide-ranging services range from telephone and email advice to providing secondment or resourcing of experts directly into your teams. We can support short or longer-term engagements, including:

  • interim or permanent placements
  • maternity/parental cover etc.
  • locating & placing COs / MLROs
  • support placements
  • training and upskilling COs / MLROs

Monitoring Programme

Manage your current in-house Monitoring Programme, or alternatively design and implement a programme to complement your internal resources. Monitoring will be at an appropriate frequency with full reports submitted to your Executive Team.

Documentation – Manuals, Policies & Procedures

Design customised documentation, covering both general and financial crime compliance, or amend your existing records after conducting a full review of your compliance documentation, including risk assessments, policies, procedures, controls and monitoring programmes.  

 

Regulatory Filings

Manage all interactions with the FCA from regulatory notices through Connect, to RegData returns to ensure they are submitted on time and with precision, irrespective of whether you use a third-party accountants or advisers.

Client On-Boarding

Oversee the onboarding process of new clients, either using our own tailored solutions or your internal systems and data sources. Alternatively, we can perform the necessary CDD/KYC checks only or to perform EDD for high risk and/or complex client structures.

Carry out remediation activities following regulatory intervention or as part of the acquisition or disposal of existing client portfolios.

What qualifies Complyport to take on this important task?

With 20 years of assisting financial services with leading compliance support and well over 150+ years of combined direct experience among our consultants, Complyport will be there to offer hands-on, practical advice as your organisation grows. Whether its upcoming regulatory changes, new product initiatives or unprecedented market events, we can be your go to source for advice. If you want to get back to focussing on what makes your business successful whilst being assured that your compliance is in good hands, arrange a consultation with Complyport today.

Please contact us to obtain our retained services brochure

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