Private Banks & Wealth Managers

Regulatory expertise for private banks and wealth managers serving high net worth and ultra high net worth clients

We provide specialist wealth management compliance support for private banks and wealth managers. Serving high net worth clients brings particular regulatory challenges, from enhanced financial crime controls to sophisticated suitability requirements.

Our consultants understand the relationship-driven nature of private banking and help build compliance frameworks that support rather than impede client service.

Sector Overview

Private banks and wealth managers face heightened regulatory expectations given the nature of their client base. Financial crime controls must address the elevated risks associated with high net worth clients and international structures. Suitability assessments must reflect sophisticated investment strategies and complex financial circumstances.

Whether you operate as a private bank, discretionary wealth manager, or multi-family office, our wealth management compliance expertise helps you meet regulatory expectations while maintaining service excellence.

Sector-Specific Challenges

Private banks and wealth managers we work with commonly face:

Meeting enhanced financial crime due diligence for HNW and PEP clients
Building robust suitability frameworks for complex investment strategies
Managing conflicts of interest in relationship-driven environments
Implementing Consumer Duty for professional and retail client segments
Satisfying CASS requirements for client assets and custody
Supporting cross-border client relationships within regulatory constraints
Maintaining appropriate documentation of investment advice

We help firms tackle these sector challenges proactively, reducing risk and improving operational confidence.

HOW WE HELP

Day-to-day regulatory guidance, compliance troubleshooting, and expert technical support.

We provide practical help for compliance teams, senior leaders, and firms seeking authorisation or ongoing regulatory peace of mind.

Our advice is always practical, proportionate, and rooted in regulatory reality – ensuring that compliance becomes a source of confidence, not complexity.