Regulatory Compliance Services
The rapid development of new financial services business models (and related technology) along with an uncertain legal and regulatory framework has created challenges for financial services firms of all sizes. Our team has expertise in the areas of consumer protection, anti-money laundering, sanctions, and information security. We offer a range of services that can help forge a path through these obstacles.
Compliance obligation mapping
Compliance program evaluation and efficiency review
Compliance Program Framework
Governance, structure, and staffing
Policies and procedures
Regtech systems and processes
Chief Compliance Officer (CCO) Services
On an Interim basis, FS Vector will serve as an outsourced CCO for startup or growth stage Fintech companies. As part of this service, FS Vector will assist in the development or enhancement of the company’s compliance program. Once the company is operational, FS Vector will manage the company’s compliance program. In addition, FS Vector will provide coaching and training to senior management and junior compliance personnel. Lastly, FS Vector will assist in identifying a permanent full-time CCO. FS Vector offers flexible engagement models for its compliance officer services to meet the company’s regulatory and staffing demands.
Click here for more information on our Compliance Officer Services (COS) Program.
FS Vector offers training programs for employees, board members and risk management/compliance professionals. We also organize forums, industry coalitions and events to share best practices and develop intelligence that will assist companies. Our training programs are tailored to individual needs and cover a wide range of subject matter areas, with a specific emphasis on ways to leverage technology and regtech solutions when developing compliance programs.
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