Many firms have an in-house compliance function but require additional capacity, specialist expertise or independent input.
Ocorian works with your team to provide practical, timely support across all areas of compliance designed to keep your firm aligned with regulatory expectations. Our support is tailored to your business model whether you need ongoing assistance or help with a specific requirement.
How does Ocorian support ongoing compliance?
Day to day compliance support
We cover the practical compliance tasks that keep your firm operating within regulatory expectations. This includes:
- Responding to day to day compliance queries
- Advising on regulatory interpretation and expectations
- Reviewing new products, services or business changes
- Supporting client onboarding and due diligence
- Reviewing marketing materials and client communications
- Maintaining compliance registers and documentation
Policy and framework development
We help firms maintain policies and procedures that reflect regulatory requirements and operational realities. We support with:
- Drafting and updating compliance manuals
- Enhancing anti-money laundering and counter-terrorist financing (AML/CTF) frameworks
- Reviewing governance arrangements
- Aligning policies with Dubai Financial Services Authority (DFSA) and Financial Services Regulatory Authority (FSRA) rule changes
- Keeping documentation proportionate to your business model
Regulatory engagement support
We help firms prepare for and manage interactions with the DFSA and FSRA. This includes:
- Preparing for DFSA/FSRA meetings
- Supporting responses to regulatory queries
- Advising on thematic reviews and inspections
- Preparing senior management for regulatory discussions
Temporary or transitional support
We provide interim compliance support during periods of change covering staff absences, recruitment gaps, business expansion and new product launches.
How does Ocorian work alongside your team?
We work as an extension of your team, adapting our support as your needs change, maintaining clear communication so that our advice reflects both regulatory expectations and your business reality.
Frequently asked questions
Flexible, practical compliance support for firms in the DIFC and ADGM that already have an in-house function but need additional capacity, specialist expertise or independent input, tailored to your business model.
Day-to-day compliance tasks and queries, policy and framework development, AML/CTF enhancements, regulatory engagement with the DFSA and FSRA, and interim or transitional support during periods of change.
Yes. Ocorian provides interim compliance support during periods of change, covering staff absences, recruitment gaps, business expansion and new product launches.