Compliance and Risk Management

A range of cost effective Compliance and risk support solutions to meet your regulatory obligations.

At Active Optimus Group, our Compliance and Risk Management service delivery is built around highly qualified and skilled staff providing multi-jurisdictional support tailored to your needs.

Our teams can act as MLRO, Compliance Officer, or just support those roles within your organisation. As we work as teams across jurisdictions, we can provide the knowledge and support of the whole Active Optimus Group in numerous jurisdictions. We can bring you the most up-to-date processes and procedures used within the financial services world.

Our Compliance and Risk Management teams also provide help and assistance with Cyber Risk Management, AIFMD reporting, MIFiD consultancy, GDPR support, Risk Assessments, and CRS and FATCA (AEOI) Reporting. We can also help with supporting Compliance led projects such as client file reviews, board reviews and preparation for regulatory oversight visits.

Our Compliance and Risk Management Support services include:

  • Provision of MLRO (Guernsey only)
  • Provision of Compliance Officers
  • Support to your own MLRO / Compliance Officers
  • AML and CFT Training
  • Provision of AML and Compliance Manuals
  • Maintain and Review your own AML and Compliance Manuals
  • Production of Compliance Monitoring Programs
  • AML and CFT Risk Assessments
  • Enterprise Risk Assessments
  • Corporate Governance and Board reviews
  • Pre-regulatory visit health checks
  • Review of Cyber-security provisions (Guernsey only)