Compliance Solutions

Throgmorton’s compliance solutions team works in partnership with our clients to provide a bespoke service, delivered in a practical and cost-effective manner. Headed by ex CCO and COOs and staffed by experienced industry professionals, we have wide-ranging expertise, covering a variety of industry sectors and international regulatory regimes.


Our services include:

  • Licence applications to regulators in the UK and the US
  • Design and implementation of risk-based systems and controls encompassing compliance, operations, risk and corporate governance
  • Delivery of interactive compliance management and monitoring solutions using Apex-exclusive web-based technology
  • Ad-hoc compliance, operational and regulatory project work
  • Regulatory reporting
  • Company health checks involving a holistic review of the firm’s systems and controls
  • Assistance during regulatory audits and inspections
  • Outsourced registered compliance and money laundering reporting officer functions (SMF 16 and 17) under the FCA’s SM&CR
  • Onboarding due diligence
  • Liaising with and reporting to the Board
  • Training

To speak to one of our Compliance Solution experts, call 0207 332 0973 or e-mail the following

Melanie Scotland
Head of Compliance Solutions

 




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"..Most importantly, their team is knowledgeable, efficient and extremely committed to excellent client service.."