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Services

Flexible compliance support tailored to your needs

«It takes 20 years to build a reputation and five minutes to ruin it. If you think about that, you’ll do things differently.»
Warren Buffett

Does your company need experienced support regarding legal or regulatory provisions it is confonting?

Our experts help you monitor and reduce your legal, financial and reputational risks. We assist you in complying with all regulations that are applicable to your company.

Compliance Group analyzes your company-specific regulatory requirements and compliance gaps, develops compliance solutions and tools, and implements these within the framework of your organizational workflows.

Compliance Group’s flexible modules offer a broad range of services. Whether you choose focused support on specific issues or multiple service modules, we are happy to tailor our services to your company’s requirements.

Licensing

We have a long-term track record in assisting asset managers in achieving regulatory approval and licensing as portfolio managers, managers of collective assets, or financial intermediaries. Thanks to our experience and our tried and tested processes, we are able to offer our assistance in a service package with attractive terms.

Outsourcing

As your outsourced compliance or risk management function, we analyze and monitor your risks and carry out periodic compliance checks within your framework of regulations. On top, we are available whenever you need us. Our independence guarantees a segregation of functions and an appropriate organisation for your company.

Insourcing

As needed, we provide you with one of our specialists on an ad interim basis or act as your in-house compliance officer, legal counsel, risk manager, or internal auditor on a longer-term basis. Clients appreciate our long-standing experience and our practical approach.

Analyses

We often do analyses for companies; identifying gaps in compliance or risk management and following up with solutions that resolve these gaps. We will also assist you on-site in implementing our recommendations if so desired.

CMS / ICS

As former in-house compliance, risk management, and internal audit professionals at globally active companies, we know what setting up compliance management systems, risk management systems, and internal control systems entail. We know what it takes to make them effective. It would be our pleasure to set up similar systems for your business or support you in optimizing existing ones.

Due Diligence

We frequently run integrity checks on clients and other contractual partners (KYC and PEP reviews, etc.) and clarify uncertainties connected to new or existing contractual partners. We summarize our reviews for the client in a report which they can use for audit purposes.

Training Courses

Whether for employees or board members, we tailor our courses to your needs. Here are some of the topics we offer:

  • FinSA rules of conduct
  • Fighting corruption
  • Dealing with conflicts of interest
  • Compliance and risk management for the board of directors

Consulting

Compliance is our core competence, but we are also experts in drafting contracts and resolving various legal questions. Our consulting clients profit from our extensive experience in corporate governance, risk management, and internal investigations.

Contact us

We are happy to assist.

© Compliance Group 2022