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Novatus Global

Advisory Services

Compliance:

Managing the complexity and burden of regulatory compliance is an enormous challenge in terms of costs and resources.

In an ideal world, your firm would have a large team of inhouse specialists focused on meeting ever-changing and complex compliance needs.

Diagnose

Gap analysis of function to ensure compliance with all relevant regulations.

Implement

Of regulatory frameworks, operating models and regulatory requirements.

Reporting

Of errors or divergence from regulation, delivery of remedial actions.

Future Proof

Against future regulation changes with horizon scanning and actionable advice.

Compliance Solutions

Experience led, technology-enabled

Since the above ideal is typically not the reality, our complete Compliance solutions range from strategic direction to embedding best practice at a functional level.

Further, fully managed service options provide scale, expertise and resource capacity to better manage optimise compliance costs.

Compliance Services

Regulatory Expertise

Novatus’ experts bring a powerful combination of regulatory knowledge and commercial perspective.

We work directly with regulators and market peers, allow us to provide our clients with an alternative to resourcing Compliance projects internally.

Managed Compliance

Specialist team

Increasing amounts of regulation combined with a more active regulator means the cost and onus of compliance is higher than ever.

In an ideal world, your firm would have a large team of specialists with the complete skillset to deliver your compliance needs. However, this is often not the reality.

Cost-effective Solution

If your firm is struggling to meet the regulators requirements, Novatus Global is your solution to ensuring the breadth and depth of compliance is covered in a cost-effective manner.

Our managed compliance services mean we share your BaU burden, helping you manage costs whilst accessing the capacity and skills you need to succeed.

Recent Examples of Work

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

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

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.

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