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New Delhi, Delhi, India Strategy
4 years experience
  • Compliance Management
  • Business Strategy
  • Business Development
  • Project Management
  • +10
Hire Palak
5 years experience
  • Compliance Management
  • Business Development
  • Due Diligence
  • Regulatory Compliance
  • +3
Hire Kristen
Stavanger, Norway Strategy, Venture Capital
4 years experience
  • Compliance Management
  • Financial Modeling
  • Business Strategy
  • M&A
  • +8
Hire Vedaansh
Oslo, Norway Strategy, M&A
15 years experience
  • Compliance Management
  • Financial Modeling
  • Business Strategy
  • M&A
  • +7
Hire Yasir
Switzerland Strategy, M&A
6 years experience
  • Compliance Management
  • Financial Modeling
  • Business Strategy
  • M&A
  • +6
Hire Jacopo
Madrid, Spain M&A
1 years experience
  • Compliance Management
  • Financial Modeling
  • M&A
  • Corporate Finance
  • +3
Hire Maria
Boston, MA, USA Strategy, M&A
6 years experience
  • Compliance Management
  • Financial Modeling
  • M&A
  • Corporate Finance
  • +6
Hire Alvaro
Paris, France M&A
3 years experience
  • Compliance Management
  • Financial Modeling
  • Business Strategy
  • M&A
  • +8
Hire Julian
A compliance management consultant is an expert who identifies the shortcomings of an enterprise regarding obeying government regulations and established standards. 

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Frequently asked questions

What clients usually engage your Compliance Management Consultants?

We work with clients from all over the world. Our clients range from enterprise and corporate clients to companies that are backed by Private Equity or Venture Capital funds. Furthermore, we work directly with Family Offices, Private Equity firms, and Asset Managers. Most of our enterprise clients have dedicated Corporate Development, M&A, and Strategy divisions which are utilizing our pool of Compliance Management talent to add on-demand and flexible resources, expertise, or staff to their in-house team.

How is Fintalent different?

Fintalent is not a staffing agency. We are a community of best-in-class Compliance Management professionals, highly specialized within their domains. We have streamlined the process of engaging the best Compliance Management talent and are able to provide clients with Compliance Management professionals within 48 hours of first engaging them. We believe that our platform provides more value for Corporates, Ventures, Private Equity and Venture Capital firms, and Family Offices.

Our Hiring Process – What do ‘Community-Approach’ and ‘Invite-to-Apply’ mean?

‘Invite-to-Apply’ is the process by which we shortlist candidates for the majority of projects on our platform. Often, due to the confidential nature of our clients’ projects, we do not release projects to our whole platform but using the matching technology and expertise of our internal team we select candidates who are the best fit for our clients’ needs. This approach also ensures engagement with our community of professionals on the Fintalent platform, and is a benefit both to our clients and independent professionals, as our freelancers have direct access to the roles best suited to their skills and are more likely to take an interest in a project if they have been sought out directly. In addition, if a member of our community is unavailable for a project but knows someone whose skill set perfectly fits the brief, they are able to invite them to apply for the role, utilizing the personal networks of each talent on our platform.

Which skills and expertise do your Fintalents have?

The Fintalents are hand-picked and vetted Compliance Management professionals, speak over 55 languages, and have professional experience in all geographical markets. Our Compliance Management consultants’ experience ranges from 3+ years as analysts at top investment banks and Strategy consultancies, to later career C-level executives. The average working experience is 6.9 years and 80% of all Fintalents range from 3-12 years into their careers.

Our Compliance Management consultants have experience in leading firms as well as interfacing with clients and wider corporate structures and management. What makes our Compliance Management talent pool stand out is the fact that they have technical backgrounds in over 2,900 industries.

How does the screening and onboarding of your Compliance Management talent work?

Fintalent.io is an invite-only platform and we believe in the power of referrals and a closed-loop community. Members of our community are able to invite a small number of professionals onto the platform. In addition, our team actively scouts for the best talent who have experience in investment banking or have worked at a global top management consultancy. All of our community-referred talent and scouted talent are subject to a rigorous screening process. As such, over the last 18 months totaling more than 750 hours of onboarding calls, of which only 40% have received an invite-link after the call.

What happens if I am not satisfied with my Compliance Management consultant’s work?

During your initial engagement with a member of our Fintalent talent pool with no risk. If you are not satisfied with the quality of your hire for any reason then we are able to find a replacement at short notice. There is no minimum commitment per project, but generally projects last at least 5 days and can last 12+ months.

We are a community-based M&A staffing platform.

With our platform, you can fill full-time M&A roles, or staff your team with a Compliance Management expert when you need an extra hand.

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Everything you need to know about Compliance Management

Compliance in business means obeying rules, regulations, and standards pertaining to your organization. 

Compliance management ensures that your company’s infrastructure, processes, organization, activities, and policies are in accordance with established rules, standards, policies, and regulations that guide businesses and companies. 

Governments, industry and regulatory bodies, and employee unions set these rules and regulations. 

Compliance management is ensuring your establishment follows all the rules set by the government and regulatory bodies to ensure that your organization and all its activities are legal. 

When starting a business, it is essential to ensure it is legal and follows established policies and regulations governing businesses in general and companies in your particular industry. This is compliance. 

Compliance management is the process of maintaining this state of compliance. It is the regular assessment and evaluation of your company’s systems and policies to ensure they are up-to-date and compliant with the established regulations and policies. 

Compliance management is essential because it:

  1. Regularly assesses the entire state of your company regarding infrastructure, employees, policies, products, security, etc., to prevent security breach and non-compliance with established regulations and standards. 
  1. It protects your company from the consequences of noncompliance, such as fines, lawsuits, security breaches, loss of certification, damage to reputation, and so on. 
  1. It protects your company from ignorance. A company might be unaware of specific policy changes, but not implementing these changes counts as noncompliance. Compliance management protects your company from such occurrences. 

Who is a compliance management consultant? What does a compliance management consultant do?

A compliance management consultant is an expert who identifies the shortcomings of an enterprise regarding obeying government regulations and established standards. 

A compliance management consultant must ensure that a company follows all the necessary policies, regulations, and standards and remains compliant. 

Some of the tasks a compliance management consultant performs are: 

  1. Identify areas where a company is non-compliant 
  1. Proffer solutions to fix non-compliant issues 
  1. Train employees to understand compliance policies 
  1. Compile reports for regulatory bodies 

Software Options for Compliance Management 

Compliance management can be a complicated process. Trying to account for every policy and regulation that applies to your company and ensuring you stay updated on policy changes can be tedious for a company to carry out. But there are software options that make the process a lot easier. 

Some examples of these software options are:

  1. Connecteam 
  1. SiteDocs 
  1. Qualtrax
  1. PowerDMS
  1. QT9 QMS 
  1. Skill cast
  1. DoneSafe
  1. Libro
  1. Netwrix

Compliance Management Regulations

As said before, compliance management is assessing your company’s operations and policies to ensure they comply with government regulations. But what rules, policies and standards must companies pay attention to and remain compliant with?

Some of them are:

  1. Sarbanes-Oxly Act of 2002

It’s a United States Federal law enacted due to major corporate and accounting scandals. This regulation protects people from financial crimes, improves investor confidence and ensures that financial statements are accurate and reliable. This is a regulation company should ensure they remain compliant with to stay legal and avoid consequences. 

  1. CAN Spam Act of 2003

This protects a person’s rights and prevents a company from sending spam emails to people. It also enforces the right of an individual to unsubscribe from emails, as an unsubscribe feature must be included in all emails.

  1. Health Insurance Portability and Accountability Act (HIPAA) of 1996 

This prevents the personal details of patients from being disclosed to unauthorized persons without consent. 

  1. General Data Protection Regulation (GDPR).

This legislation protects the privacy rights of people, and it also ensures that when data is collected, it is done responsibly. 

  1. Dodd-Frank Act

This regulation promotes financial transparency and accountability to protect the public and customers from abusive financial services practices. 

  1. The Payment Card Industry Data Security Standard (PCI-DSS).

This protects cardholders against abuse of their personal information and ensures the security of credit, debit and cash card transactions.

Compliance Management Standards

  1. ISO 37301

ISO 37301 is a Type A management system standard that identifies the requirements for establishing, implementing, improving and maintaining a compliance management system.

  1. ISO 19600 

ISO 19600 guides create, develop, maintenance and improve an effective and efficient compliance management system within a company. 

Compliance Management Guidelines 

  1. Determine your end goals at the start

This concerns your preparation and the methods you’ll use to manage compliance. This involves preventing noncompliance with attention to detail, proper structuring, and employee training. It also includes conducting internal audits and surveillance. If a non-compliance issue has been identified, it should be remedied immediately. 

  1. Know your industry’s rules and regulations 

Just as business structures vary, so do the rules and regulations that apply to businesses, depending on the business structure and industry. Note the laws and standards that affect your particular business so you can know how to comply with them. 

  1. Write clear internal policies. 

Your staff is a significant part of your organization. They are responsible for how the business operates daily, so they must be aware of all the policies that affect your business, both internal and external. This ensures that ignorance doesn’t cause non-compliance. 

  1. Train your personnel

Sometimes noncompliance issues arise from errors your employees make. To avoid this, ensure they are well-trained to conduct the affairs of the company with total accuracy. 

  1. Conduct compliance audits routinely. 

You should conduct audits for your business and also perform internal audits. This is to ensure that your compliance management structure is up-to-date and not lacking.

  1. Conduct risk assessment 

Compliance management is all about attention to detail. Conduct risk assessments routinely in your company to fully understand the company’s strengths and weaknesses, and ensure that all areas of noncompliance are identified quickly.

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»I worked in Corporate M&A for more than a decade and wish a platform like Fintalent would have existed years ago! Fintalent provides a very flexible, cost- and time-efficient way to deal with our buy-side transaction staffing requirements with top tier M&A experts.«

Alexander Mora, CFA
Partner at Ingeniam, former COO/ Head of M&A of DWS Group

As a founder CEO, I’ve been evaluating our exit readiness and other options. Fintalent.io provided me with an expert who helped me to understand the value of our business. He took a closer look at our internal KPI and structures, to make sure we’re set up in the most professional way possible.

Bernd Bube
Bernd Bube
Founder & CEO, Advendio

»Inorganic growth is a big part of our strategy. We were looking for a global partner to help us with our buy-side M&A projects, and found Fintalent. From first contact to project start took less than 2 weeks. The quality of talent is exceptional. Now, we’re already talking to potential targets.«

Bart van Acker
Bart van Acker
CEO, QbD Group