
Compli-Serve is an independent specialist provider of advisory and operational compliance services to the financial services sector.
Compli-Serve was originally established in March 2003 by former Managing Director Richard Rattue and licensed by the (then) Financial Services Board to render compliance services on 27th June 2003. Today we are a leading independent provider of regulatory compliance services to the financial services sector. The company has its head office located in Cape Town and has regional offices in Johannesburg, Pretoria, Durban and Bloemfontein and services clients in all major business nodes around the country.
We draw on both local and international trends in developing compliance services designed to meet the best practice compliance needs of today’s financial services professionals who operate in an ever more regulated environment.
Compli-Serve provides compliance-related services across a wide spectrum of the financial services sectors, including long-only asset managers, fintech, crypto, financial advisors, hedge fund managers, private equity funds, insurers, underwriting managers, insurance intermediaries and direct marketers.
We work with both local and international clients and have a wide range of experience in the implementation and ongoing monitoring of financial services regulatory compliance. Through our diversified local and offshore client base, we have developed considerable skills and expertise with the implementation and monitoring of regulatory compliance.
We recognise the need for the business to contain the costs of compliance whilst meeting the increasing challenges of regulatory compliance. We strive to keep our services focused without compromising the delivery our clients have come to expect.
Business goals and objectives
- To ensure that we engage and communicate with our clients and stakeholders;
- Expand offerings and solutions to meet the needs of our clients;
- Ensure all Compliance Officers are kept abreast with key international and local developments;
- Invest in developing previously disadvantaged individuals through our Compliance Officer Internship Programme;
- Comply as a company to all relevant legislation and seek to ensure our clients are compliant as well;
- Strive to provide service excellence;
- Instil sound project management principles in our day-to-day execution of our work;
- Improve on our internal policies and procedures to ensure an evidenced-based approach;
- Remain in good standing with the regulatory authorities;
- Be part of industry work groups to assist with comment and input on relevant legislation within South Africa;
- Be involved through a social responsibility project on an annual basis.