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Services

Smaller licensed firms carry the same regulatory obligations as large ones with a fraction of the people. The function still has to exist, survive an audit, and work on a Tuesday afternoon when someone needs an account opened. I build and run that function for firms that need it done properly without a full-time hire.

London Abstract
Dubai City View

Interim & outsourced compliance

Compliance officer, MLRO and responsible-person cover. Typically during an executive search, through a licensing process, or on a continuing basis for firms that need the function without a full-time hire.

 

Retained monthly, with a defined number of days.

Operations & target operating model

Onboarding and client lifecycle, custodian and counterparty relationships, outsourcing oversight, reporting and platform selection.

 

Fixed-fee review, or project-based.

Canary Wharf London
Modern City Skyline

Licensing, remediation &
regulatory change

Entity build-out from application through to operational readiness; remediation following an audit, inspection or supervisory finding.

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Project-based.

London City

Operational readiness review

A structured two-week review of your compliance and operating arrangements against your regulator's expectations, delivered as a findings report with prioritised remediation.

Fixed fee.

Not sure which of these you need?

Most firms are not. The problem usually arrives as a symptom: an audit letter, a departure, a bank that will not onboard, a process that has quietly stopped working. Tell me what has happened and I will tell you whether it is something I can help with, and if it is not, who is better placed. That conversation costs nothing and does not commit you to anything.

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