Charles River Compliance Services

Complex regulatory mandates and increased focus on risk management are increasing the compliance workload at many investment management firms. Coupled with ongoing demands to reduce costs, these pressures leave compliance organizations struggling to get by with personnel that are lacking in bandwidth or expertise.

Charles River Compliance Services work as an extension of your team to help manage your compliance environment using a remote support model that provides enhanced depth and skills. Charles River IMS supports compliance monitoring of over $16 Trillion in assets and our Compliance Services team has expertise and scale difficult to maintain with an in-house staff alone.

Choose the combination of services that best meets your firm’s needs:

  • The Compliance Monitoring Service provides comprehensive, time-sensitive daily monitoring of alerts and data exceptions.
  • The Compliance Advisory Service (with optional regulation updates) ensures that compliance rules and processes keep pace with changing business needs and regulatory requirements.

Key Benefits

  • Reduce Total Cost of Ownership by streamlining compliance operations
  • Redirect in-house staff to higher value activities
  • Add depth and experience to your compliance department
  • Increase compliance service levels and consistency
  • Leverage Charles River’s best practices
  • Reduce hiring, training and coverage burdens