Risk Management und Compliance Outsourcing

We provide you with competent risk and compliance officers, including deputies, who ensure that your business activities comply with the applicable laws and regulations.

Thanks to our experience with a large number of similar outsourcing mandates and audits in the areas of AMLA, FinSA and FinIA, we can support you with practical and tried-and-tested solutions. 

• Assumption of the compliance function, including the money laundering unit, in accordance with SRO, AO and FINMA regulations and of the role as contact person for the supervisory authority
• Control of all new openings (in particular completeness checks, KYC content checks and AMLA risk classification)
• Organisation of regular meetings to gain insight into business relationships and transactions
• 2nd line compliance controls in accordance with the ICS control plan (in particular transaction monitoring, AO/FINMA reporting obligations) and in relation to compliance with internal directives
• Periodic check of customer relationships
• Standard activities of the AMLA unit
• Drafting and update of the necessary internal guidelines for the implementation of anti-money laundering regulations
• Update of the internal regulatory framework and contract documents in the event of regulatory changes
• Monitoring of cross-border activities, including forms and controls, use of the necessary cross-border country manuals
• Ad hoc advice on all regulatory issues and compliance-relevant topics

With the introduction of the FinIA, the obligation to maintain an internal control system (ICS) and appropriate risk management was extended to all prudentially supervised financial service providers. Even after obtaining FinIA authorisation, questions often arise regarding implementation. We will be happy to advise you on these issues. As risk managers in an outsourcing relationship, we also carry out selected controls at your institution and show you the corresponding opportunities for improvement. 

• Assuming the function of risk manager in terms of AO and FINMA regulation
• Contact person for the supervisory authority
• Ad hoc advice on all risk management issues at company level
• Monitoring of the ICS documentation
• 2nd line risk controls in accordance with the ICS control plan
• Updating/management of the risk and control matrix and creation and management of the ICS control plan
• Exchange with auditors in the case of regulatory audits
• Support with preparation of and participation during the regulatory audit
• Ensuring compliance with fiduciary, due diligence and information obligations

We handle the periodic risk and compliance reporting (including periodic AMLA risk analyses) to the Executive Board and the Board of Directors and present this at board meetings. 

We review the drafts of external regulatory reports and discuss them with you. 

We provide you with simple and tried-and-tested solutions or templates for all your day-to-day compliance requirements. 

We can offer you a suitable software solution for carrying out internal checks. Your control tasks are triggered automatically and you have dashboards with overviews of open and completed control tasks. The tool is web-based and can therefore be accessed via a standard web browser. The data is stored exclusively in Switzerland. 

Our compliance templates include contract sets (incl. customer segmentation, risk profile and information brochure), sets of policies, business plans, an ICS and risk framework as well as AMLA forms (A, R, C, T, I, S forms, KYC, risk classification, updating, etc. forms), which comply with the latest regulatory requirements and industry standards.

Our training courses for your staff members are tailored to your needs and cover the regulatory topics required by law and directives. 

We keep you up to date on the regulatory developments that are relevant to you. You can also subscribe to our newsletter. As part of a compliance outsourcing mandate (full or only as a deputy) or a customised compliance support mandate, we also support you in implementing regulatory developments with templates, adaptation proposals or other consulting services.