Five Ways to Free Up the Compliance Team

Jane M. Stabile on 3/28/22 4:14 PM

Front office support can be a grind, especially when it doesn’t allow time for anything else. During volatile market conditions, PMs may need to rebalance or unload positions quickly and having orders “stuck” in compliance means your team is constantly taking calls.

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IMP is a FinTech & RegTech consulting firm serving buy-side investment managers worldwide.

We work with asset managers on their Order Management (OMS), Compliance, Risk, Middle Office & Back Office Systems. We have helped firms from ~$5 billion AUM to >$2 trillion AUM streamline and enhance their current systems, find new systems and implement them, upgrade one or more areas of the trading workflow, and train their staff. 

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