FCA Compliance, AML & Risk Monitoring
Outsourced Managed Compliance Solutions for Fund Managers, Investment Advisers & Financial Services Firms
Compliance and Risk Monitoring are ever-evolving topics within the UK and European financial services industry. Understanding compliance and risk management is one thing, but its application to your firm can be a challenge that typically diverts you away from your core business activities and places a financial and resource burden on you, particularly if you are a non-EEA financial services firm looking to operate in Europe.
When you outsource your compliance and risk monitoring to Vantage Ventures, we create a bespoke framework around your venture and requirements. By striving to be compliant in every aspect of your firm, you not only satisfy your regulatory requirements but also set a positive image to your stakeholders and the investors in your investment products.
'Managed Compliance' is a key topic discussed by industry leaders in a bid to reduce costs and remain compliant at all times. We can assist with:
- Ongoing Compliance Monitoring & Oversight;
- FCA CF30/SMCR onboarding;
- Risk Management;
- EU Passporting;
- Client & Investor Suitability Assessments;
- Training and Competence Programmes;
- Onboarding reviews of new employees into Controlled Functions;
- Compliance Reporting;
- Financial Promotion Consulting;
- AML and KYC checks;
- Structured Training & Competence programmes;
- Regulatory Change program.
As your compliance and risk monitoring partner, we can work with you on a single project basis or offer a continuous professional service.