Managed Compliance Services

Outsource all your compliance tasks to a team of experts. Lawson Conner’s managed compliance solutions deliver considerable benefits to our clients.

With regulatory requirements ever increasing, along with demands on in-house compliance teams, the risk of failing to meet these demands has also increased. The pressure to be compliant comes not only from the regulator but also from clients and investors who view non-compliance as a red flag for committing new funding.

MaxComply, Lawson Conner's compliance conduct monitoring software can cut processing time by up to 80%

Many financial services firms typically don’t have the requisite in-house resources and experience to meet regulatory requirements, while larger financial services firms suffer from extraordinary compliance costs to ensure all necessary tasks are completed.

We provide a number of managed compliance support functions which enable clients to remain compliant while assisting in minimising regulatory risk and reducing costs:  

  • Financial Promotion Approvals  
  • Onboarding of new employees, suitability assessment  
  • Compliance Reporting  
  • Ongoing Compliance Monitoring (conduct monitoring programme)  
  • Delegated Risk Management  
  • Outsourced compliance functions and administration
  • Client and investor suitability tests  
  • AML and KYC checks  
  • Trading reviews  
  • Structured Training & Competence programmes  
  • Regulatory Change program

All services are offered as either as a stand alone SaaS software solution or mSaaS solution (managed compliance solution)

Lawson Conner has assembled one of the largest and most focused compliance teams in the industry to help financial services firms manage their compliance obligations.  

How can we help you? Our team of services professionals is ready to take your call and arrange a meeting.

Outsourcing compliance tasks to free up internal resources.

Reduce regulatory risks & costs by using compliance software.

Compliance services ensure timely regulatory change.

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Contact Us

If you require more informaton on Managed Compliance, please get in touch with us today!

Andrew Frost +44 (0) 203 696 2568

Executive Director

Joe Woodbury +44 (0) 203 696 2560 

Director, Investment Management Solutions | Copyright © 2018 Lawson Conner Services Ltd. All rights reserved.