Financial services compliance

The increasing complexities of today’s regulated financial environment mean more challenges to businesses. It is now critical that organisations are able to comply with, and navigate the regulations and financial services compliance requirements in order to effectively and legally operate.

Our team has evolved with these regulations and is able to provide a full suite of financial services compliance services to guide our clients through uncertainty.

  • Ease your workload: we will work alongside your compliance team, filling any skills gaps to help meet objectives
  • Tailored compliance monitoring: we will integrate with your first, second and third line of defence functions to undertake selected monitoring as required.
  • Training to share knowledge: we will work with you to provide compliance related courses and tailored regulatory training.

To find out how RSM’s Financial Services Compliance team can help your organisation manage its financial services risk, please contact Jonathan Pepper, Partner.

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