The client, their challenge
Our client is a global private equity investment firm with circa $500 billion in assets under management (AUM) that needed a scalable, jurisdiction-sensitive anti-money laundering/know your customer (AML/KYC) and know your agent (KYA) solution to support a growing global investor base, streamline re-investment and refresh processes.
The in-house compliance team sought to partner with a firm that could provide a proven AML technology platform with the experience and expertise of a global AML team to provide a gap analysis, gather information from investor subscriptions and perform AML reviews.
Our solution
We deployed IQ-EQ’s proprietary MaxComply™ platform to digitise and centralise AML/KYC and KYA workflows. This included:
- Customising the platform with a client-specific risk matrix, KYC checklists and reporting tools
- Enabling hybrid onboarding, supporting both digital and non-digital investor preferences
- Building dashboards for internal teams and investors to track status and documentation
- Integrating data access options, including CRM compatibility for client-side use
- Introducing our standardised AML/KYC protocols, tailored to jurisdictional requirements
- Benchmarking and aligning client AML/KYC standards with best practices
The results
- Accelerated investor approvals through formalised KYA workflows
- Delivered a premium, secure investor experience with white-glove service
- Scaled efficiently using our global client delivery centres and expert teams
- Established a robust governance framework through monthly steering committee to drive continuous improvement.
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