Compliance Operations
Regulatory work runs on a clock. We are on the clock.
KYC, AML, audit support, SOX testing, vendor due diligence, and regulatory reporting operations staffed from our delivery centers. Daily SLAs, monthly metrics.
What this is
Compliance work is high-volume, deadline-driven, and unforgiving of error. We staff and run it as an operations function with the controls and reporting cadence regulators expect.
What we deliver
The work, itemized.
- 01
KYC and KYB onboarding and refresh at 40 to 50 files per analyst per day
- 02
AML transaction monitoring with case management and SAR drafting
- 03
SOX testing across IT general controls and key business controls
- 04
Vendor risk assessments and ongoing due diligence cycles
- 05
Audit response support and evidence packaging
Who it is for
Financial services firms, fintechs, and regulated mid-market companies with sustained compliance workload and visibility into examiner deadlines.
Tipo de contratação
- MSP
- Equipa Terceirizada
- Projeto / SOW
How the engagement runs
What we own. What you own. What you get back.
01
Discovery and risk profile
- We own
- Regulatory scope mapping, control inventory, queue analysis
- You own
- Access to current case management tools and policy library
- Duration
- 1 to 2 weeks
- Deliverable
- Documented scope, SLA targets, and staffing model
02
Operating model design
- We own
- Workflow design, QC structure, escalation paths
- You own
- Approval of QC sampling rates and escalation triggers
- Duration
- 1 week
- Deliverable
- Approved operating model document
03
Team build and training
- We own
- Analyst hiring, certification, scenario-based training
- You own
- Policy training material, system access provisioning
- Duration
- 2 to 4 weeks depending on team size
- Deliverable
- Certified team ready for live operations
04
Pilot batch
- We own
- Operations against agreed SLAs, daily QC sampling
- You own
- Daily review of pilot output, calibration feedback
- Duration
- 2 to 3 weeks
- Deliverable
- Sign-off to scale
05
Production operations
- We own
- Continuous execution, daily QC, monthly metrics, regulator-ready evidence packs
- You own
- Quarterly business review, scope changes
- Duration
- Continuous
- Deliverable
- Monthly SLA report, daily QC log, audit-ready evidence
Recent engagement
Cleared a 4,200-file KYC refresh backlog in 11 weeks.
A European challenger bank had a regulator-driven KYC refresh deadline and a 4,200-file backlog with 9 weeks to deliver. We staffed a team of 14 analysts and two QC leads, structured the queue, and delivered the refresh with full audit trail in 11 weeks. No regulatory finding.
- Files cleared
- 4,200
- Delivery time
- 11 weeks
- Regulatory findings
- 0
FAQ
Questions buyers ask.
Are your analysts certified?
Our AML analysts hold CAMS or local equivalents. KYC analysts complete our internal certification program covering CDD, EDD, sanctions screening, and PEP handling.
How do you handle regulatory examiner requests?
Every case has a documented audit trail in your system of record. We package evidence to your team within 48 hours of a request and stand ready to brief examiners alongside your compliance officer if needed.
What is your QC sampling rate?
Default 10% sampling on KYC files, 15% on AML alerts, 100% on SARs. Sampling can be adjusted based on regulator expectations or your internal risk tolerance.
How do you handle false-positive rates on AML alerts?
We tune disposition templates per typology and feed back to your system to reduce noise. Expect a 20% to 40% reduction in repeated false positives within the first quarter.
Can you work on a project basis for a one-time backlog?
Yes. Fixed-scope projects against an agreed file count and deadline. We have cleared single-tranche backlogs from 500 files to 10,000 files.
Related services
Pair this with.
HR Operations
The back-office machinery of your people function, run for you.
Payroll, benefits administration, onboarding, lifecycle changes, and employee data hygiene operated from our delivery centers under SLA.
AI-Augmented
Human judgment, machine throughput.
Our recruiters and operators work with AI-assisted workflows built in-house. Faster turnaround, more candidates evaluated, machine-generated reports your team verifies in minutes rather than builds from scratch.
Compliance Operations. Built to your scope.
Send us the brief. We respond within 48 hours with a worked plan, an indicative price, and a named team.