Ensured 100% enforcement of compliance policies with simplified monitoring, customization, and 24-hour surveillance covering 16 countries from a single center.

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.