All firms need to ensure ongoing operations are adequately resourced and bench marked to peers. Inadequate arrangements may lead to regulatory action, business disruption and ultimately affect growth.
More and more firms are moving to co-sourcing as a way to reduce operational risk, manage business expansion and deal with change issues, be they implementing new systems or revising current work practices. Equally, the nature of day to day business means firms must often cope with staff issues on short notice, such as resignation, ill-health, disciplinary issues or employee leave.
We can provide highly qualified team members globally and at various levels on a full-time or part-time basis, including permanent placement, secondment or co-sourcing arrangement. Examples of our staffing support services include:
- Acting as Chief Compliance Officer for large UK and U.S. fund managers;
- Providing interim compliance support between the departure of an employee and the commencement of a new one;
- On-going regular on-site support for routine compliance matters;
- Identification and placement of front and back office personnel, including attorneys and compliance professionals;
- Project management and regulatory support for the MiFID authorization of a new clearing company;
- Acting as Head of Compliance for a UK Clearing Bank with EMEA remit;
- Acting as interim head of depository for a global custodian; and
- Acting as MLRO for a fund administrator.
Our team members come from a range of backgrounds including asset management, legal, regulatory compliance, administration, trustee/custodian services and stockbroking.
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenanceBy Jurisdiction
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