Corporate Compliance Services
Our corporate compliance services cover a wide range of managed services including e-communication reviews, marketing material and advertisement review, regulatory compliance review, distribution compliance, code of ethics monitoring and social media surveillance. Our regulatory compliance professionals work as an extension of your firm’s team of in-house compliance officers to provide support and assist you in terms of seamless workflow. Combined with our expertise in compliance, our subject-matter experts strive to maintain internal controls and help redesign workflow to mitigate inherent and potential risks identified under any policy or regulation.
Corporate Compliance Support We Offer
How we are different
We are specialised in reviewing material from a number of regulators such as the SEC, FINRA and FCA, providing you with a centre of excellence to support your global marketing teams
Specialised in monitoring specific policies in line with Rule 204A-1 and country-specific regulatory requirements, our subject-matter experts are uniquely placed to monitor your code of ethics globally
We are committed to helping firms mitigate high risks such as existing and potential individual and organisational conflict, conducting due diligence, and enhanced bribery and compensation monitoring with a key focus on protecting stakeholder interest
We have extensive experience – from enhancing lexicons to timely escalation – due to our ability to work across time zones, helping onshore teams understand an immediately actionable plan at the start of their day
We are experienced in working with compliance tools such as Global Relay, Smarsh, Symphony, Salesforce, Compliance Accelerator and Star Compliance to provide regulatory compliance services
What we have done
Marketing literature review support for a hedge fund with offices in the US and the UK
What we are proud of
100%
Met deadlines
35%
reduction in compliance costs
Multi-functional Compliance Support for US-based Global Asset Manager
What we are proud of
100%
review of tracking securities trading
30%
reduction in client workload
Sales & Marketing Literature Review Support for US-Based Global Asset Manager
What we are proud of
35%
reduction in cost of complacency
100%
timelines achieved
Our perspective on Corporate Compliance
December 23, 2020
December 16, 2020
assetmanagment assetmanagers , investmentmanagement , Markets
Blog
Compliance rule deficiencies and weaknesses identified by the OCIE
The latest risk alert pu..... Read More
November 27, 2020
Meet our experts
Jehan Jeyaretnam
Director, Head of Compliance Services
Jehan is global head of Compliance Services, serving buy- and sell-side clients. He was previously the head of global projects and transitions — equity, and led all inbound scoping requests and delivery solutions for buy- and sell-side clients. Jehan managed the setup and transition of several large engagements, including lift-and-shift of processes for clients across multiple work streams. He has over 17 years of experience in investment research and analysis, compliance, project management, audit control and systems implementation. He has led large projects and teams across multiple work streams and global locations and is a Certified Investment Advisor (Colombo Stock Exchange)
Jehan Jeyaretnam
Director, Head of Compliance Services
Tanya Raj
Assistant Director, Forensic Compliance
Tanya heads Forensic and Central Compliance practices. She has over 15 years of experience in the financial services industry. Prior to joining Acuity Knowledge Partners, she worked at Goldman Sachs as Vice President,GSAM Compliance as Bangalore team manager, line compliance officer for the India businesses, and lead for forensic and marketing compliance initiatives. Tanya has also handled marketing strategy and communications at GSAM and market research at Thomson Financial. Tanya holds a Bachelor of Business Management (Marketing) from Bangalore University.
Tanya Raj
Assistant Director, Forensic Compliance
Wilfred Peter
Delivery Manager, Central Compliance
Wilfred Peter has over 11+ years of experience in compliance and Investment banking having worked for firms including State Street Global Advisors and HSBC. His expertise spans across compliance and risk sector, focusing on compliance reviews of marketing/advertising materials and social media contents. At Acuity Knowledge Partners he is part of the central compliance team and specializes in marketing material review and social media reviews. Wilfred is a graduate (Bachelors of commerce) and hold a degree from St Joseph’s College of Commerce Bengaluru.
Wilfred Peter
Delivery Manager, Central Compliance
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