SERVICES
Regulatory and compliance operations built around controlled data, evidence and accountable review.
Turn recurring FATCA/CRS, regulatory-reporting and compliance obligations into repeatable workflows with visible exceptions and responsibility boundaries.
Overview
Regulatory work becomes operational once the applicable obligation has been interpreted. Data must be collected, mapped, validated, reviewed, filed or handed off, and then retained as evidence. When this work is rebuilt manually each period, the firm creates unnecessary deadline and control risk.
We support the operating and technology layer around approved compliance requirements. Formal legal, tax and regulatory interpretation remains with the client and appropriately appointed advisers.
The operating challenges we address
- FATCA/CRS classifications and investor tax data are not centrally maintained.
- Regulatory reports are rebuilt manually from multiple systems.
- Control calendars and evidence are spread across spreadsheets and inboxes.
- Rule changes are not version-controlled.
- Formal provider and client responsibilities are unclear.
Capabilities
How the service works
| Step | Operating activity |
|---|---|
| 1 | Confirm the obligation and reporting population using authorised interpretation. |
| 2 | Map each requirement to approved data sources, rules and owners. |
| 3 | Collect and transform the required information. |
| 4 | Run completeness, consistency and prior-period validation. |
| 5 | Route exceptions to authorised specialists and produce the filing/support evidence pack. |
Technology & expertise
We combine controlled workflow technology with specialist operating knowledge. Expert judgement defines the rules, review criteria and exceptions; the technology layer connects data, automates repeatable processing, preserves evidence and routes issues to the right owner.
Core operating elements
- Financial AI Harness for workflow orchestration, tools, context and escalation.
- Specialist skills for the domain-specific work inside this service pillar.
- Approved data and system integrations rather than an unnecessary rip-and-replace model.
- Rules, validation, exception thresholds, permissions and audit trail.
- Expert review for judgement-sensitive and material items.
Who this is for
Relevant across Hedge Funds, PE/VC, Private Credit, Real Assets, Asset Managers and many Family Office / investment-entity structures.
Delivery models
| Model | Description |
|---|---|
| Managed Operations | We execute the agreed recurring workflow while client and appointed-provider approvals remain explicit. |
| Technology Enablement | We implement the data, workflow and control layer for the client team to operate. |
| Hybrid / Co-sourced | Execution and review are shared through a documented responsibility and escalation model. |
| Transition & Implementation | We mobilise the operating model during a launch, provider change or transformation. |
Responsibility and control
Our service architecture is designed to preserve formal responsibility boundaries. Where a regulated, fiduciary, legal, tax, audit, banking, custody, agency or investment-management role belongs to the client or an appointed provider, that responsibility remains explicit. Kelton operates the agreed workflow, technology, data and specialist-support layer within the documented mandate.
Discuss Regulatory & Compliance
Start with one operating problem or one workflow. We will map the current process, the data and provider dependencies, the control model and a practical first engagement.