100% Enforcement of Compliance & 24-Hr Surveillance
the client
A Los Angeles-based global alternative investment firm operating across multiple jurisdictions with complex compliance mandates.
Industry
Investment Management
Service
Compliance
Engagement Details
- Project name: Global Compliance Oversight
- Model: Off-Shore
- Complexity: Medium
Technology Stack
- Excel Macros
- Compliance Tracking Systems
- Email Surveillance Tools
Business Need
Monitoring services in the areas of email surveillance, transaction monitoring, personal trading, regulatory requirement, gifts and entertainment policy.
Challenges
- Dealing with the portfolio managers on the compliance frameworks.
- Liaising and answering regulatory queries.
- High regulation norms from different jurisdictions and regulators across geographies.
- 100% enforcement of the firm’s compliance policies.
- Implementing new compliance programs.
Services
- Provided compliance services for our client whose offices are spread across 16 countries.
- 24 hours surveillance support covering the global markets.
- Flexibility in customizing to the client’s compliance oversight and simplifying monitoring.
- Prepared compliance standard operating procedures and process maps on newly introduced compliance programs.
Benefits
- Surveillance and regulatory compliance from a single location across geographies.
- Certifications are done and sent to the regulators on time.
- Improved efficiency in the operating procedures and process.