Control calendar
Translate approved policy obligations into recurring tasks.
REGULATORY & COMPLIANCE
Compliance operations with clear evidence and oversight.
Turn approved policies and recurring obligations into structured workflows without presenting operational support as formal regulatory advice.
Overview
Compliance operations is the recurring process layer that helps an investment firm execute approved policies: control calendars, evidence collection, periodic reviews, monitoring tasks, issue tracking, attestations and escalation.
It sits downstream of legal/regulatory interpretation and alongside KYC/AML, regulatory reporting, governance and provider oversight.
Our capabilities
Evidence collection
Collect required data and documents from approved systems and responsible owners.
Monitoring workflow
Perform approved operational monitoring and retain the evidence supporting each review.
Issue management
Track breaches, exceptions and remediation.
Attestation support
Coordinate periodic attestations, responsible reviewers and retained approval evidence.
Compliance reporting
Provide status/evidence to authorised compliance personnel.
Service coverage
Core records
- Approved policies/procedures
- Compliance calendar
- KYC/investor records
- Provider reports
- Regulatory-reporting status
- Incident/exception records
- Authorised compliance instructions
Operating activities
| Step | Activity | What happens |
|---|---|---|
| 1 | Configure obligations | Map tasks, owners and frequency. |
| 2 | Collect evidence | Request/ingest required data. |
| 3 | Execute checks | Apply approved operational rules. |
| 4 | Identify exceptions | Classify and assign issues. |
| 5 | Escalate / remediate | Track authorised decisions and actions. |
| 6 | Report | Produce status/evidence for compliance oversight. |
Reporting and oversight
- Compliance calendar
- Control-evidence library
- Exception/issue register
- Remediation tracker
- Periodic review status
- Management/compliance dashboard
What clients gain
A complete compliance calendar
Translate approved policy obligations into recurring tasks.
Stronger evidence collection
Collect required data and documents from approved systems and responsible owners.
Consistent monitoring
Perform approved operational monitoring and retain the evidence supporting each review.
Faster issue resolution
Track breaches, exceptions and remediation.
Governance and integration
Compliance Operations is delivered through defined responsibilities, controlled records and documented review. Material exceptions, judgements and approvals remain visible and attributable throughout the operating process.
- No autonomous regulatory interpretation.
- Clear distinction between operational check and compliance decision.
- Issue severity/escalation rules.
- Evidence timestamp/source.
- Authorised compliance sign-off.
Expertise and delivery
Experts behind the service.
Relevant professionals support service design, exception review and delivery governance where specialist judgement is required.
Meet our Experts & ProfessionalsTechnology that supports control.
Controlled data, workflow and review capabilities support consistent execution, transparent oversight and traceable evidence.
Explore Technology & ExpertiseConfigured around your operating model.
Services can be delivered through managed operations, technology enablement, co-sourced delivery or transition support.
See How We WorkFrequently asked questions
How is this different from compliance consulting?
Our service focuses on operating approved controls and evidence workflows rather than advising what the law requires.
Can policies be converted into workflows?
Yes, after authorised interpretation: obligations, evidence, thresholds and escalation can become recurring controlled tasks.
What should AI do?
Assist with extraction, classification, reminders and evidence checks; material compliance decisions remain human-controlled.
Discuss Compliance Operations
Start with one workflow, one operating issue or one provider transition. We will map the current process, responsibility boundaries, required data and a practical first engagement.