The Challenge

Client is a global asset management firm specializing in alternative investment strategies. It is the largest distressed investor in the world, and one of the largest credit investors in the world. Currently the client is struggling to monitor services in the areas of email surveillance, transaction monitoring, personal trading, regulatory requirement, gifts and entertainment policy. Challenges the client faced: Dealing with the portfolio managers on the compliance frameworks, Liaising and answering to the regulatory queries, High regulation norms from different jurisdictions and regulators across geographies, 100% enforcement of the firm’s compliance policies, and Implementing new compliance programs.

The Approach

  • Computech provided compliance services for our client whose offices are spread across 16 countries and needed 24 hours’ surveillance support covering the global markets.
  • The team provided flexibility in customizing to the client’s compliance oversight and simplify monitoring.
  • Prepared compliance standard operating procedures and process maps on newly introduced compliance programs

Accomplishments

  • Computech was able to successfully achieve surveillance and regulatory compliance from an individual location across geographies.
  • Certifications are done and sent to the regulators on time. Improved efficiency in the operating procedures and process.

Are any of your processes turning into a challenge?
We might have a solution for you.