Interested in joining our team?
We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
We know that many investment professionals wish to conduct regulated activities but don’t necessarily want the burden of building a full in-house compliance team, especially those with limited compliance resources or a team lacking extensive experience. We have a deep bench of global regulatory compliance expertise to meet the needs of asset managers worldwide.
In today’s highly regulated financial services landscape, we help you stay compliant with industry best practices and regulatory requirements across relevant jurisdictions, including those of:
- The UK’s Financial Conduct Authority (FCA), as well as far-reaching EU regulations such as the Alternative Investment Fund Managers Directive (AIFMD) and the Sustainable Finance Disclosure Regulation (SFDR)
- The U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA)
- In Asia, the Monetary Authority of Singapore (MAS), Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission (SFC)
For firms that are already regulated, our compliance support includes BAU compliance tasks, ongoing advisory support, secondments and project work. For firms not yet regulated, we can project manage the process of gaining the relevant registrations, authorisations and licences.
We also offer AIFM services and third-party AIF ManCo platforms in the UK, Luxembourg, Ireland and France, as well as regulatory hosting for unregulated UK firms under the FCA’s Appointed Representatives regime.
What’s more, our compliance services are underpinned by proprietary, market-leading onboarding, risk and compliance software platforms: MaxComplyTM and gVue.
$750B+
assets under administration
800+
funds under administration
Supporting 13 of the top 15 private equity firms
Advanced technology for compliance
Streamlined processes for increased efficiency
Technical services to meet your operational needs
Compliance consulting
We offer a comprehensive range of compliance consulting solutions for regulated firms, from help with initial regulatory applications and authorisations, through development of suitable policies and procedures, to quarterly reporting and ongoing advice.
Appointed Representatives (AR) regulatory hosting
Looking for a quick and efficient way to provide financial services in the UK? We are a leading provider of UK regulatory hosting solutions and AR services using our trusted regulated entities, G10 Capital and Sapia Partners.
Compliance SaaS
Simplify your compliance journey with our suite of intuitive and user-friendly SaaS platforms. Our tools are designed to help you effortlessly navigate the complexities of AML/KYC and regulatory compliance, ensuring that you stay on top of your compliance obligations.
AIFM services
We have well-established expertise and a strong track record in helping global asset managers access European investors, be it through our AIFM services or our third-party AIFM platforms in the UK, Luxembourg, Ireland and France.