Outsourced Compliance

The primary challenge facing firms is the breadth of regulation that they face and ensuring they stay complaint in an increasingly complex environment. We support firms in aligning themselves with the regulation, providing the critical evidence of compliance and advising on strategic objectives based on the regulatory landscape.

By outsourcing to Novatus, you gain access to a broard range of compliance expertise and continuous market insights.

Why Novatus:

Novatus’ experts bring a powerful combination of regulatory knowledge and commercial perspective. We have worked directly with the regulator and market peers and consequently can provide our clients with a superior alternative to resourcing Risk and Compliance teams internally.

Our compliance team are specialists in their field, providing our clients with access to deep knowledge – resources that cannot be economically resourced in-house. Outsourcing brings true independence to the compliance process, for both advice and monitoring purposes, whilst freeing your business from the administrative burden.

Recent examples of work:

Infrastructure Fund Manager: Our experts reviewed and enhanced the client’s compliance manual, providing them with a fully compliant final product.

Retail Brokerage: The team supported the client with a review and full update of compliance policies for authorisation.

Asset Manager: We conduct quarterly compliance monitoring plans and present findings to the CEO and Board. Our team created all policies to comply with MiFID and AIFM regulation, and provided compliance advice to inform business strategy.