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Compliance Consulting

Our compliance consulting services help you stay compliant with industry best practices and regulatory requirements across relevant jurisdictions, including the FCA in the UK, SEC, FINRA, CFTC/NFA in the US, and MAS, HKMA, and SFC in Asia. Trust us to help you navigate the ever-changing regulatory landscape.


assets under administration


funds under administration

Supporting 11 of the top 15 private equity firms

A global corporate presence

Integrated services for seamless support

Up-to-date industry experience




Our compliance consulting services

  • FCA authorisations / Variations of Permission
  • Ongoing compliance support
  • Regular monitoring – compliance monitoring programme
  • Compliance documentation – manual and policies
  • Ad-hoc advice/compliance support training
  • FCA reg data reporting submissions / preparation of FCA returns
  • Regulatory updates – new regulation horizon scanning
  • PRIIPs/KIDs preparation
  • Project work
  • Secondments
  • Marketing NPPR and other FCA notifications
  • FCA thematic compliance projects e.g. conflicts reviews, FCA mock reviews
  • Implementation projects for new regulations
  • Compliance health checks
  • KYC/AML services (both investor and investment)
  • Operational and vendor due diligence
  • AML
  • ESG and compliance with SDR / SFDR
  • Market abuse
  • Correct FCA permissions
  • Marketing and financial promotions
  • Sufficient regulatory capital including compliance with IFPR
  • Anti-bribery and corruption – gifts and entertainment
  • Governance – senior management roles & responsibilities
  • Operational resilience
  • Conflicts of interest
  • Control effectiveness and breaches
  • Staff – certifications, joiners/leavers, training

IQ-EQ also offers compliance consulting services in the UK and Asia for a global perspective.

We can also offer managed compliance services

Managed compliance services allow clients to outsource key compliance functions while minimising regulatory risk and reducing costs.


  • Financial promotion approvals
  • Training and competence programmes
  • On-boarding of new employees and suitability assessments
  • Compliance reporting
  • Ongoing compliance monitoring
  • Delegated risk management
  • Outsourced compliance functions and administration
  • Client and investor suitability tests
  • AML and KYC checks
  • Industry-leading support
  • Interwoven corporate services
  • International reach

Trust in IQ-EQ’s longstanding reputation for technical and institutionally focused AR and compliance consulting services offering both commercial and proportionate advice. Our team of experts has extensive experience in the integration of services, from fund accounting to corporate administration and further services.
Contact us today to learn more about our all-inclusive client consulting services.

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IQ-EQ is the best firm for our needs, they do a good job and they are cost effective for what they do. Michael Savinelli Vice President, Chief Tax Officer & Treasurer, ITT Inc

Compliance consulting FAQs


What does compliance consulting involve?
Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.
What can a regulatory compliance consulting firm like IQ-EQ do for me?
At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies.
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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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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