Head of Compliance Monitoring,
Fortune 500 Investment Bank,
Fortune 500 Investment Bank,
What Sets Our Compliance Solutions Apart?
Eliminate any risk of hefty fines for accidental exposure and reputational damage by creating a governance structure to respond as required.
We help you conduct audits, and assist you with internal inspections to ensure that you are compliant with regulatory mandates.
Reduce time spent on internal compliance reviews, so your resources can focus on more pressing compliance needs.
Achieve strategic objectives with the support of a global, optimized, transparent and compliant operations team.
Our teams of compliance experts are highly specialized in the regulatory needs of specific industries, and consistently deliver dependable, high-quality work, every time.
Setting up a pilot is easy!
Our client experience and success program is built to integrate seamlessly with your organization and to not eat into your day with training sessions.
We partner with compliance technology providers who routinely drive compliance with their intuitive technology to create efficient services. You can now combine these services with our team of compliance experts – through onshore, offshore, and hybrid models.
We offer custom solutions for you to choose from. Our solutions prepare you for the challenging regulatory landscape.
Boost your privacy program for CCPA, GDPR & global privacy laws with our comprehensive privacy management solutions.
In conjunction with our technology partner, we provide an advanced anti-money laundering (AML) KYC sanction screening solution. We proactively help mitigate risks and ensure compliance with a variety of AML and counter-terrorist financing (CTF) regulations.
We make your KYC and Customer Due Diligence (CDD) programs effective with solutions that:
Email and social media review is a daunting task. Emails and their attachments fall under the regulatory definition of “written communications” and therefore are subject to the archiving requirements defined within the Books and Records Rule (FINRA Rule 2210).
Our compliance experts help you review and understand relevant industry-specific regulations and compliance laws with our review and analysis capabilities. We create a comprehensive gap-analysis, and prepare reports required by regulatory authorities (including FINRA and SEC). Next, we conduct audits, and assist with internal investigations and inspections to ensure that you meet all regulatory mandates.
Do you have internal & vendor audit programs, or need help creating them? We have the expertise and knowledge to ensure you’re doing everything required to meet client and regulatory demands. Our independent audits and assessments will help you avoid missed filings, non-maintenance of critical documents, delays, inaccuracies, and data inconsistencies. This reduces legal notices, regulatory prosecution, penalties and fines!
We work with your legal team to create a compliance framework. In it, we outline regulatory compliance standards relevant to your business processes, and the internal controls your firm has in place to adhere to these standards. Your AML compliance program will be designed to support both your business goals, and compliance obligations.
This framework includes communication processes, risk controls, and governance practices for maintaining compliance. We identify and eliminate redundant compliance processes, as well.
Our regulatory research team reviews each regulatory change, and finds relevant updates to establish an accurate legal basis for your compliance program. We perform research that discovers secondary sources to provide relevant regulatory sections.
We conduct multi-jurisdictional research that includes historical notes and links, presented in an easy-to-read format. Our comprehensive regulatory research dashboard is enabled by Artificial Intelligence (AI) to help your team track regulatory changes in seconds.
What our regulatory research offers you:
We help you navigate through the Food & Drug Administration (FDA) regulations and the Federal Trade Commission (FTC) guidelines regarding advertising and labeling your food products, cosmetics, or nutritional & dietary supplements. In addition, we also assist you in complying with the rules on how you communicate with your end consumers.
If you don't implement continuous compliance training, your employees will be unaware of regulatory updates. This impacts regulatory changes for your business, and a failure to spot non-compliance at work.
A culture of compliance goes beyond just one annual training session. It embeds compliance into everyday workflows, and sets the foundation for employee compliance within your organization. We work with your team to create the compliance material you need for internal distribution and awareness.
A data breach occurs when an individual or an application illegally enters a private or unauthorized IT network. Regardless of size or industry, no company is completely safe against cyberattacks.
We work with tech partners in our partner program, LegalEase Preferred, to deliver technology that enhances your operational efficiency. It also minimizes the adverse impact on your business in the event of a data breach.
We support you with
Our compliance experts and attorneys draft compliance policies and procedures that are fully researched to ensure compliance with your company’s specific risk profile and regulatory obligations. Our team invests the time needed to understand the implications and requirements of new regulations, then design policies and procedures accordingly.
This partnership with LegalEase is a delight for us. I have tried outsourcing in the past and it has not worked for us but the relationship with LegalEase should be a role model and standard on how good outsourcing works.
KYC Compliance Screening is a crucial step in client onboarding. I decided to first start with a pilot of LegalEase’s KYC process.
The service and hybrid solution was top notch and exceeded my expectations, that I moved from the pilot period to an ongoing service need in 7 days.