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.

Regulatory Strategy

  • Compliance obligation mapping

  • Licensing

  • Compliance program evaluation and efficiency review

Compliance Program Framework

  • Governance, structure, and staffing

  • Policies and procedures

  • Regtech systems and processes

  • Risk assessments

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.

Training

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.

Click here for more information on our training offerings.

COMPLY Practice Leaders

John A. Beccia III

Co-Founder and CEO

Amy Friend

Senior advisor

Bryan Mulcahey

Principal

COMPLY Insights