Moody’s Analytics Knowledge Services capital markets compliance outsourcing services enable clients to meet strict regulatory compliance requirements at a reduced cost of compliance. For several very large and mid-sized investment banks and asset managers, we work as an extension of their in-house compliance team helping them rigorously monitor their controls. Our offshore support teams provide additional bandwidth, performing critical, day-to-day repetitive, labour-intensive, monitoring and tracking compliance tasks, while our clients’ onshore compliance teams focus on more value-added work.

The quality and large size of our workforce, our global delivery centres and our deep understanding of the compliance domain in the capital markets sector allow us to multi-task and provide flexible support to our clients across multiple work streams (e.g., AML and transaction monitoring, KYC, e-mail monitoring, personal trade monitoring, regulatory filings, guideline coding and monitoring, and registration support).

Our specific compliance support services fall under four broad categories as below:

Investment banking offshoring
Investment Compliance Support Services

We enable investment managers to rigorously implement their compliance policies and controls at a lower cost.

Investment banking outsourcing
AML Analytics and Surveillance

Our Compliance services help companies to address their compliance needs by leveraging an integrated and robust solution.

Investment banking offshoring
Central Compliance

Compliance functions spend significant time and effort conducting various compliance monitoring tasks as part of their overall risk-mitigation initiatives.

KYC and Client Due Diligence

Clients have to deal with ever-evolving regulations regarding on-boarding, FATCA, and marketing of securities.