Case study
The client, their challenge
Our client is a global private credit and equity firm with circa $500 billion in assets under management (AUM) that required a scalable, multi-jurisdiction anti-money laundering/know your customer (AML/KYC) and know your agent (KYA) solution to support a growing global investor base and streamline re-investment and refresh processes.
Their in-house compliance team sought a partner with a proven AML technology platform and global expertise to conduct gap analysis, manage investor subscriptions and perform thorough AML reviews.
Our solution
We began by providing two IQ-EQ dedicated resources (manager-level and in-house legal) to lead AML/KYC and KYA reviews. We then:
- Expanded coverage to multiple jurisdictions to meet global compliance needs
- Implemented our proprietary MaxComply™ platform to centralise and document KYC/KYA procedures
- Co-developed a customised review protocol aligned with the client’s internal due diligence standards
- Built advanced screening and adverse media checks within MaxComply for ongoing monitoring
- Created internal dashboards for client teams and external dashboards for investors to track review status
- Streamlined KYA workflows to enable faster investor approvals for deal teams
- Established multi-tier governance, including a monthly steering committee, to oversee process enhancements and scalability
The results
- Delivered a scalable, jurisdiction-sensitive compliance framework tailored to client needs
- Improved transparency and tracking for both internal teams and external stakeholders
- Accelerated investor onboarding and approval timelines through formalised workflows
- Enabled proactive monitoring and risk management via integrated screening tools
- Enhanced operational efficiency and investor experience with real-time dashboards
- Supported rapid business growth with flexible resource deployment and governance oversight.
