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Compliance services

We offer compliance solutions designed for financial institutions operating within the rigorous Swiss regulatory landscape. From establishing compliance frameworks to managing regulatory reporting, our services help ensure your firm’s compliance with FINMA standards and other global regulations while reducing operational burden.

Our compliance team combines deep expertise and local knowledge, working with you to build a long-term strategic partnership focused on achieving sustainable compliance. Whether you need support for specific tasks or a fully managed compliance service, we tailor our solutions to meet your unique regulatory needs.

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  • Access to extensive regulatory expertise tailored to Swiss and international standards
  • Full compliance outsourcing to optimise efficiency and reduce fixed costs
  • Industry benchmarking to strengthen your compliance framework
  • Enhanced confidence for investors and stakeholders
  • Comprehensive support for reporting, training, monitoring, and regulatory change

With us, you can trust that your compliance requirements are handled with diligence and precision, allowing you to focus on your business goals. Our solutions provide the regulatory foundation needed to protect your business and clients in an evolving landscape.

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Compliance outsourcing

We offer complete outsourcing of your compliance function, managing the regulatory obligations and processes while ensuring full compliance with regulatory standards. This approach enables your business to reduce operational overhead and focus on core activities.

Compliance assessment

Our assessments benchmark your compliance framework against regulatory standards and industry best practices, identifying areas for improvement to ensure robust compliance.

Compliance program development

We design customised compliance frameworks that include policy creation and monitoring mechanisms, keeping your organisation in alignment with all requirements.

Compliance training and education

Our tailored training programs provide your team with a deep understanding of regulations through a combination of quarterly virtual sessions, monthly updates, and annual in-person training.

Compliance monitoring and reporting

We continuously monitor your compliance activities to identify and address issues proactively, ensuring alignment with guidelines.

Data protection compliance

We implement data protection strategies in line with the Swiss Data Protection Law to safeguard client data and ensure regulatory compliance.

Reporting obligations

Our team prepares and submits mandatory annual anti-money laundering, risk, and compliance reports to FINMA and other stakeholders, including your board of directors.

International compliance consulting

With a global footprint, we offer support for firms operating across Europe, Asia, the UK, the Crown Dependencies, and the US, guiding them through complex cross-border regulatory landscapes.

Compliance services FAQs

 

What types of compliance services does IQ-EQ offer in Switzerland?

IQ-EQ offers tailored solutions for financial institutions seeking compliance support. We work with you to design and implement frameworks that meet regulatory expectations, addressing everything from policy creation to ongoing compliance checks, so you can stay aligned with Swiss and global standards.

How can IQ-EQ’s compliance outsourcing benefit my business?

By outsourcing your compliance function to IQ-EQ, you can reduce operational overhead and focus on core activities. We manage all regulatory obligations, ensuring your business remains compliant with regulatory standards and global regulations. This comprehensive solution includes monitoring, reporting, and training to keep your team informed and aligned with compliance requirements.

Does IQ-EQ provide support for regulatory reporting and licensing?

Yes, IQ-EQ assists clients with mandatory regulatory reporting and supports firms requiring licensing or registration with FINMA.

How does IQ-EQ support data protection compliance?

IQ-EQ helps you adhere to the Swiss Data Protection Law by implementing robust data protection strategies tailored to your organisation’s needs. Our data protection services safeguard client data and provide compliance assurance, enabling you to meet regulatory standards confidently.

What makes IQ-EQ a trusted compliance partner?

IQ-EQ combines deep local knowledge with cross-border regulatory expertise. Our technology-driven solutions, such as MaxComply and gVue, ensure real-time compliance monitoring and reporting, enhancing efficiency and reliability across your compliance operations.

Working with IQ-EQ has been seamless – you and your team understand our business, advise us appropriately, and handle your side of our collective partnership so that we can focus on making good investment decisions. Evan Gibson SVP, Merchants Capital

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We’re ready to listen.

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Interested in joining our team?

We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.

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