Challenges

  • 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
  • Implementing new compliance programs

The Approach

  • 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 simplify monitoring
  • Prepared compliance standard operating procedures and process maps on newly introduced compliance programs

Accomplishments

  • 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

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