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.

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