Centralized monitoring to enforce policy and meet multi-jurisdiction mandates
A global alternative investment firm needed offshore compliance oversight to enforce firm-wide policies and manage regulatory expectations across jurisdictions. CES provided centralized compliance operations covering email surveillance, transaction monitoring, personal trading, and gifts & entertainment—backed by 24-hour surveillance for global markets and SOPs for newly introduced programs.
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The Challenge
Multi-jurisdiction compliance mandates across geographies
Alignment with portfolio managers on compliance frameworks
Regulatory queries and policy enforcement at scale
the client
Investment Management (Alternative Asset Management)
Technology Stack
- Excel Macros
- Compliance Tracking Systems
- Email Surveillance Tools
Solution Area
- Compliance | Global Compliance Oversight
the impact
24hr
market surveillance coverage
16
countries oversight from a single location
On-time certifications and responses to regulators
Improved efficiency via SOPs and process maps
The shift: centralized, 24-hour surveillance.
The result: consistent policy enforcement.
The Need
The firm required a single offshore compliance function to run continuous monitoring across global markets, maintain strict policy enforcement, and manage regulatory interactions—without losing control across jurisdictions.
Challenges
- Portfolio manager alignment on compliance frameworks: Compliance execution required consistent coordination with portfolio managers while maintaining governance discipline.
- Regulatory queries and multi-jurisdiction requirements: Different regulators and regional norms increased complexity in responses, documentation, and compliance handling.
- Full enforcement plus rollout of new compliance programs: The firm needed 100% policy enforcement while introducing new programs with clear operational structure.
- Offshore compliance services across global offices: Delivered compliance support for offices spanning 16 countries, operating as a centralized oversight function.
- 24-hour surveillance for global markets: Provided round-the-clock surveillance support to cover market activity across time zones.
- Customizable oversight and simplified monitoring: Adapted monitoring workflows to match the client’s oversight model, reducing operational friction.
- SOPs and process maps for new compliance programs: Created compliance SOPs and process maps for newly introduced programs to standardize execution.
- Centralized surveillance and regulatory compliance from one location across geographies
- Certifications completed and sent to regulators on time
- Operating procedures streamlined through SOPs and process mapping
- Monitoring support sustained across global markets with 24-hour coverage
strategic client partner
Take the Next Step
If multi-jurisdiction mandates and constant monitoring are straining your compliance team, we can run a centralized offshore model that supports surveillance, policy enforcement, and regulator readiness. Talk to our Strategic Client Partner
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