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Top 10 Compliance Service Companies - 2021

The financial compliance standards are most essential in the financial ecosystem today as it is viewed as the key source in sustaining public trust in the banking system. Together with the technological breakthroughs and digitalization trends, the risks and the challenges affecting the security of the financial world have started to get more serious. Therefore, the regulations to cover and prevent potential financial crimes have been stricter than ever before. However, technology also has the empowering side to offer the most effective solutions to the financial institutions in dealing with demanding compliance standards and offering the most secure and gratifying service to the consumer of the digitalization age.

RegTech (Regulatory Technology) has entered the financial industry landscape to manage compliance-related activities and continuously keep financial institutions and FinTechs aware of regulatory developments. RegTech's cloud-based architecture has become crucial in satisfying dynamic regulatory requirements, as it increases financial institutions' overall operational efficiency through benefits such

as scalability, cost-effectiveness, security, and adaptability. RegTech allows the most comprehensive, functional, and effective regulatory compliance possible by leveraging technologies such as artificial intelligence (AI), machine learning (ML), and analytics. Furthermore, AI and ML are critical for detecting potentially harmful financial activities and limiting false positives. Financial institutions that employ AI technology enhance the overall quality of their business by assuring client satisfaction while adhering to regulatory regulations.

To help leaders choose the solution that best fits their requirements, Financial Services Review has compiled lists of the most promising compliance solution providers and compliance service companies. Besides, the magazine also comprises insights from thought leaders in the sector on the industry trends, best practices, recent innovations, and their advice for aspiring CIOs.

We present to you Financial Services Review’s ‘Top 10 Compliance Service Companies - 2021'.

    Top Compliance Service Companies

  • A certified partner of FINRA and SIPC, GT Securities is a full-service investment banking platform raises equity (primary and secondary) and debt (secured and unsecured), and executes upon acquisition, divestiture, and merger transactions (M&A) for companies of all types and sizes. It offers a modern, technology-driven broker-dealer platform with best-in-class compliance and a customizable deal platform. The company’s global network of investment banking professionals has completed hundreds of transactions across almost every industry and geography. The benefits of working with GT Securities include high-speed efficient turnaround on mandates and deals, peer networking, best-in-class tools, industry relationships (FINOPS, consultants, and law firms), and more

  • IntegriShield is designed to protect organizations’ reputation and brand recognition. The company has developed a unique holistic approach to compliance monitoring and remediation, designed to ensure that clients engage in consistent and compliant marketing activities. IntegriShield’s monitoring service consists of several solutions, including web, paid search, display ad, email monitoring and more. Essentially, the company’s service enables clients to easily identify different brand risks, and where they are coming from. In fact, the company’s affiliate monitoring service empowers clients to understand the complexities of the various affiliate channels to reduce risks and costs while improving consumer and brand engagement

  • Fairview


    Management firms with superior compliance administration. Generally, growing money management firms struggle with the compliance and operational challenges inherent in investment firms. As a service-oriented organisation that has invested heavily in technology and operational expertise, they seek to assist businesses in remaining focused on their primary goals: managing money and maintaining client relationships

  • Financial Resources Group

    Financial Resources Group

    Professionals focused on growing investment services practises for over 70 financial institutions and 450 independent advisors across the country. Financial Resources Group Investment Services is a business development and consulting firm that also provides accounting, compliance, and supervision services

  • Forensic Risk Alliance

    Forensic Risk Alliance

    They specialise in forensic accounting and generally have no conflicts of interest. Independent forensic accounting and consulting firm with over 250 professionals in ten global offices across the United Kingdom, the European Union, the United States of America, and Canada. FRA operates on a global profit and loss statement and employs a global staffing model.

  • CertFocus


    CertFocus is the market leader in service and compliance for SaaS-based Certificate of Insurance and related document management for the Fortune 500 and leading public sector organisations. CertFocus is a privately held company with offices in Kansas City, Chicago, and New York. CertFocus offers a tiered service model with varying levels of assistance. Each of our service levels is tailored to our customers' unique requirements, ensuring that their needs are met

  • Greyline


    Greyline's comprehensive, technology-enabled suite of services represents a departure from the traditional outsourced consulting paradigm. Their advanced solutions, which encompass compliance, operations, finance, and accounting, place a premium on robust internal controls and healthy business practises that promote growth and responsibility

  • Intertrust Group

    Intertrust Group

    Intertrust provides global multinationals, fund managers, financial institutions, and business entrepreneurs with fund and corporate, capital market, and private wealth and employee benefit solutions. It operates in five segments: the Netherlands, Luxembourg, Jersey, and the Cayman Islands, as well as the remainder of the world. Intertrust's corporate services include formation and implementation, domiciliation and management, legal administration, accounting and reporting, treasury management, performance and reward management, and escrow services; and fund services include fiduciary, legal administration, accounting and reporting, treasury management, performance and reward management, and escrow services to hedge funds, private equity funds, and real estate funds

  • RKL


    RKL LLP is a premier advisory firm with offices throughout Pennsylvania and the United States. They leverage a diverse range of services - tax, accounting, data analytics, operations, human capital management, technology, and wealth management - to deliver solutions that assist organisations and their leaders in navigating daily complexities and advancing to the next level, as defined by them. They are consistently ranked among the top firms in the country and among Pennsylvania's "Best Places to Work" due to the talent and dedication of over 500 professionals

  • TENA


    Since 1982, TENA Companies, Inc. has supplied mortgage quality control review services to over 1000 lenders and servicers worldwide. TENA conducts quality control evaluations during the pre-funding, post-closing, and servicing phases, as well as licencing SecondLook Audit Software to lenders and servicers that prefer to undertake QC in-house. The Legal/Compliance group at TENA assists the organisation in staying current on all Agency requirements as well as Federal and State compliance

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