FCA Compliance, AML & Risk Monitoring

Outsourced Compliance Solutions for Fund Managers, Investment Advisers & Financial Services Firms    

Compliance and Risk Monitoring are ever-evolving topics within the UK and European financial services industry. Understanding compliance and risk management is one thing, but its application to your firm can be a challenge that typically diverts you away from your core business activities and places a financial and resource burden on you, particularly if you are a non-EEA financial services firm looking to operate in Europe.  

When you outsource your compliance and risk monitoring to XCAP Global, we dedicate our resources to your bespoke requirements. By striving to be compliant in every aspect of your firm, you not only satisfy your regulatory requirements but also set a positive image to your stakeholders and the investors in your investment products. 

'Managed Compliance' is a key topic discussed by industry leaders in a bid to reduce costs and remain compliant at all times.  We can assist with:

  • Ongoing Compliance Monitoring & Oversight;
  • FCA CF30 onboarding;
  • Risk Management;
  • EU Passporting;
  • Client & Investor Suitability Assessments;
  • Training and Competence Programmes;
  • Onboarding reviews of new employees into Controlled Functions;
  • Compliance Reporting;
  • Financial Promotion Consulting;
  • AML and KYC checks;
  • Structured Training & Competence programmes;
  • Regulatory Change program.

As your compliance and risk monitoring partner, we can work with you on a single project basis or offer a continuous professional service.

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