Compliance
The Challenge
- 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