Why asset management compliance requires adaptable solutions

The increased scrutiny over asset management compliance activity in the past few years has had a significant impact on these organisations’ capacity to manage compliance. Individual transactions and trade flow have experienced increased reporting requirements while the talent shortage of compliance experts has only made meeting these demands even more challenging.  

Digitisation is the answer, yet the extent of transformation needed comes with its own time and resource constraints. Here are just a few things that asset managers should be considering as part of their transformation: 

  • Consistent compliance and individual monitoring  
  • Easy digital evolution and integration 
  • Workflow automation and best practice frameworks 
  • Embedded processes and cultural change  

Ultimately, compliance needs to become an integrated and automated part of the process for asset management firms if they hope to stay on top of their regulatory requirements. This is not an easy thing to achieve and requires the right tools to do successfully.  

Rapid technological change is a challenge that has historically faced the industry; a challenge which has often been ‘solved’ through reactive investment into new solutions. This however uses more resource in the long-run where organisations should instead be investing into future-proofed technologies that can evolve and be updated as the market demands.  

Digitisation remains important, but doing so with a platform that can be adapted to accommodate new regulatory requirements, can support flexible best practice frameworks and will relieve the manual burden for your senior team rather than add to it, should be the priority.  


How can Trailight support 

Trailight is an individual regulatory compliance platform which is purpose-built to support global financial services organisations with these challenges. The platform transforms how you manage compliance, putting individual accountability frameworks at the heart of your processes and centralising all your individual compliance requirements. This not only reduces risk, automates workflows, and breaks down silos, but also supports cultural change from the data up.  

Already successfully implemented with numerous global financial institutions, our platform can be configured to your specific regional, cross-jurisdictional or global individual regulatory requirements. 


Discover more 

Read more about how to address the latest regulatory compliance challenges facing asset management organisations in our brochure: 

Individual accountability and risk control for asset management organisations 

  • How to address the biggest challenges today 
  • Manage constant change with accountability 
  • Integrate ESG and consumer functions to improve risk 
  • Update compliance processes with digitisation 
  • Why choose Trailight 
  • Compliance features for asset managers 
Download our Asset Compliance Management brochure