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 compliance requirements ever increasing, along with demands on in-house compliance teams, the risks 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.
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
- Training and Competence Programmes
- 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.