We offer flexible compliance services, either supporting an in-house compliance officer or providing a qualified person to act as the fund’s chief compliance officer.  

Get in touch

Services include 

Chief compliance officer  

  • Managing the compliance risk assessment process 
  • Monitoring the implementation and effectiveness of policies and procedures 
  • Recommending policy and procedure enhancements 
  • Reporting to the fund management and board 

Sarbanes-Oxley Officer 

  • Providing the principal executive officer and principal financial officers for public funds 
  • Reviewing and certifying regulatory filings 
  • Complying with disclosure controls and procedures 

Anti-money laundering officer 

  • Overseeing compliance with fund anti-money laudering policies and address issues 
  • Filing suspicious activity reports 
  • Reporting to fund management and board 

Chief compliance officer support 

  • Providing reporting and certifications  
  • Assisting with the design of the fund compliance programProviding tailored testing of your operations 
  • Consulting on board reporting and support 
  • Providing fund design and consultation 

Portfolio trade compliance 

  • Maintaining the regulatory compliance rules 
  • Performing and reporting on daily post-trade compliance testing 
  • Performing analysis on compliance warnings and breaches and managing resolutions 

Get in touch with our team

Contact Us