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Regulatory Compliance

As regulation becomes increasingly complex and the risks associated with inaccurate reporting grow, we help our clients keep on top of it by implementing practical strategies, new technologies and better data management - without disrupting business.

How we work with clients

We understand how important it is to keep delivering your current programmes even while embedding and testing work. With practical strategies our team transform the way you handle regulatory compliance.

Our support includes:
  • Embedding and testing MiFID II post-implementation,
  • Helping clients manage regulatory change from impact assessment to implementation.
  • Ensuring operational risk management is effective, particularly in front office conduct and cyber.
  • Health checks and practical implementation plans to help clients meet best practice.
  • Independent assessments to understand if change is needed and how clients are performing relative to peers.
  • Project methodologies, accelerators and market knowledge to deliver high quality work – at pace.
Alpha FMC

Why Alpha?

Across the globe our experts deliver pragmatic advice on risk and compliance work.

We’ve built a uniquely qualified team who bring an unrivalled knowledge of market practice to the asset and wealth sector. We know how the regulator trains its people to think and what good practice looks like.

Our practical recommendations and prioritised action plans help clients work more efficiently and gives them the reassurance that they’ve done everything they can to manage risk.

Q&A with Andrew Glessing, Head of Regulatory Compliance

What’s the biggest headache facing clients?

The need to provide timely and accurate regulatory reporting remains one of the most burdensome and highest risk challenges for asset and wealth managers. Keeping pace with regulators' demands can seem like running to keep still at times. And at the same time businesses have to show that they have effective governance and risk management in place and complete oversight and control.

How can they manage the burden most effectively?

Putting the right methodologies in place without disrupting day to day operations is key. Our team have worked with most of the major players in the market and are incredibly well-versed in creating practical action plans to improve risk management and compliance.

How does new technology make a difference?

There’s a wealth of new technology out there that helps us manage data more effectively which is a big part of creating a more compliant organisation.

But the landscape of vendors is complex in itself and requires experience to make the best choices. Having worked with most major vendors and having implemented the technology as well as recommended a certain system or platform, we understand what will be the best fit with any clients particular circumstances.