Contact Us
Regulatory Operations & Advisory Support

The engine behind any Risk and Compliance function.

We deliver regulatory reporting, monitoring, data and advisory support for asset managers globally. A trusted partner sitting alongside our clients or our London compliance consulting practice to provide a single, holistic offering.

Talk to us
CONTACT

Petya Barry

Partner
Petya Barry
Partner & Head of Regulatory Operations & Advisory, Malta
[email protected]

Blueprint GRC’s Regulatory Operations & Advisory team provides asset managers with the operational depth that regulatory reporting, monitoring, and compliance work demand – delivered by practitioners who have run these functions directly, not observed them from the outside.

We work alongside internal compliance and risk teams, providing the day-to-day execution, filing, and evidencing that sits underneath any senior function, backed by UK, US, and global regulatory experience.

This is not a generic outsourcing offering. It is a bespoke, hands-on service, led and executed by subject matter experts who have worked through these exact challenges and tailored around your specific needs and pain points.

Compliance & Risk Function Support

Senior, hands-on compliance and risk resource. Fractional, retained, or project based.

Regulatory obligations rarely stand still, and neither do the internal resources assigned to manage them. Our fractional compliance and risk operations service provides day-to-day execution of compliance monitoring programmes, regulatory change management, policy drafting and maintenance, and risk framework implementation for asset managers, fund managers, and regulated firms across multiple jurisdictions. This is the operational layer that sits underneath any senior compliance officer, MLRO, or head of risk – the ongoing monitoring, documentation, and evidencing work that requires consistent, experienced hands rather than occasional advisory input. Firms turn to this model when internal compliance and risk teams are stretched across too many priorities, when a compliance function has grown faster than headcount, or when a business needs continuity of coverage during a hiring gap, leave of absence, or periods of regulatory change. Because the work is delivered by practitioners who have held these roles directly, it integrates into existing governance structures rather than sitting apart from them.

Investment compliance and portfolio compliance monitoring sit at the intersection of front-office activity and regulatory obligation and are often managed separately from disclosure and regulatory reporting – creating blind spots between the two. Our investment compliance support covers ongoing monitoring and advisory support for portfolio and mandate-level compliance, including investment guideline testing, restriction and eligibility screening, and pre-trade and post-trade compliance oversight for funds, managed accounts, and SMAs operating under complex or multi-jurisdictional mandates. This service is designed to sit alongside our regulatory reporting and monitoring products, giving compliance and risk teams a single point of oversight that spans both guideline compliance and disclosure reporting, rather than running two disconnected functions through multiple vendors or data sets.

Not every firm needs, or can justify, a full-time senior compliance or risk hire – but every firm occasionally needs senior-level regulatory judgement at short notice. Our senior advisory retainer offers a bank-of-hours model that gives clients direct, on-demand access to senior regulatory and compliance expertise as needs arise: reviewing a policy before it goes to the board, providing a second opinion ahead of a regulatory exam, or advising on a fast-moving regulatory change. This model is designed for firms that need experienced judgement intermittently rather than continuously, combining the reassurance of having senior expertise on call with the cost efficiency of not carrying it as a fixed overhead.

Practical risk advisory across investment, portfolio, and regulatory risk. Oversight is frequently managed through generic, template-driven frameworks that satisfy a compliance checklist without genuinely reflecting how a firm actually invests, trades, and operates. Our risk function services provide practical, experienced advisory across investment risk, portfolio risk, and regulatory risk, including risk governance and oversight reviews, risk reporting design and delivery, and hands-on support building or refining a firm’s risk management framework. Engagements are grounded in direct industry experience rather than generic templates, giving risk committees and boards clear, actionable guidance they can implement rather than another framework document that sits on a shelf.

Anti-money laundering compliance and MLRO support are among the most resource-intensive and personally accountable functions within a regulated firm, and they rarely scale smoothly with growth. Our MLRO support and AML advisory service provides hands-on assistance across the full AML compliance lifecycle – ongoing transaction monitoring, periodic client file reviews, suspicious activity assessment, policy and procedure maintenance, and escalation handling – delivered by practitioners who have held MLRO and deputy MLRO responsibilities directly, not simply advised on AML frameworks from the outside. This service can be delivered as full cover support or targeted assistance with specific elements of the AML programme, depending on what a firm’s existing team needs most.

For AI-related governance, risk, and control frameworks, see our dedicated AI Governance Review service.

Monitoring & Reporting

Automated, audit-ready regulatory reporting across shareholding disclosure, US filings, AIFMD disclosures, commodity position limits, and sanctions.

Short selling disclosure, major shareholding notification, and UK Takeover Panel obligations are among the most operationally demanding regulatory reporting requirements faced by asset managers with cross-border or multi-fund exposures. These regimes apply broadly across instrument types capturing not just direct equity holdings, but synthetic exposures created through derivatives, exchange-traded funds, and index baskets. Disclosure triggers can be crossed intraday as portfolios are actively traded, which makes continuous monitoring, rather than periodic manual review, essential to staying compliant.

Our shareholding disclosure and short selling reporting solution automates the full workflow end to end: positions are collected on a scheduled basis, enriched with market and issuer reference data, index and basket constituents decomposed to identify underlying exposure, net positions calculated against applicable disclosure regimes, and jurisdiction-specific regulatory forms pre-populated and routed for compliance sign-off before submission. The result is a consistent, defensible disclosure process across every jurisdiction a manager operates in, without relying on spreadsheets or manual threshold tracking.

Annex IV reporting under AIFMD, and the enhanced reporting obligations introduced under AIFMD II, require alternative investment fund managers to submit detailed, structured data on a recurring basis covering leverage, liquidity, risk profile, and portfolio composition. Preparing this data accurately, consistently, and on time each reporting period is a significant operational undertaking, particularly for managers running multiple funds or strategies across different jurisdictions. Our Annex IV reporting service manages the entire reporting cycle from data preparation and validation, through mapping to the required regulatory taxonomy, to final submission – reducing the manual burden that typically falls on internal operations and compliance teams every reporting period, while maintaining a clear, auditable record of what was submitted and when.

US regulatory filing obligations – including Form 13F, Form 13H, Form ADV, and Form PF -apply to a wide range of investment managers with US investor exposure, US-listed securities holdings, or SEC registration requirements, and each carries its own data requirements, formatting standards, and filing mechanics. Our US regulatory filings service automates the data-intensive elements of this process: parsing published securities reference data, matching manager positions against reporting thresholds and requirements, and preparing submission-ready, correctly formatted reports for each applicable form. Blueprint GRC is a registered EDGAR Filing Agent and can be appointed as Delegated Entity, providing complete end-to-end filing support from data preparation through to submission, so managers do not need to build or maintain this filing infrastructure internally.

Speculative position limits on commodity interest derivatives are imposed differently across jurisdictions: in the US, the CFTC sets federal limits directly for certain core contracts while exchanges set limits for others under CFTC’s regulatory framework; in the EU, position limits are established by national competent authorities under MiFID II; and in the UK, responsibility is held by the FCA or, increasingly, by UK trading venues themselves, depending on the contract. Regardless of which body sets a given limit, a single portfolio can be subject to several distinct, independently-set thresholds at once, and exposures can move quickly relative to them. Breaches of speculative position limits can result in regulatory fines, forced position unwinds, and public reprimands, making this an area where oversight gaps carry immediate financial and reputational consequences. Our CFTC and NFA filings and monitoring service covers CPO-PQR and CTA-PR filing preparation and submission for commodity pool operators and commodity trading advisors, together with position limit monitoring across the relevant exchanges and regulatory regimes a manager is exposed to. Because limits are set and administered by multiple different bodies simultaneously, monitoring must be maintained continuously across every applicable regime rather than checked at scheduled intervals – a distinction that matters because periodic, manual review is structurally unable to catch a fast-moving breach before it happens.

Global financial sanctions lists are updated frequently and without advance notice, reflecting fast-moving geopolitical developments, and regulators increasingly expect firms to demonstrate robust, systematic screening with a clear, defensible audit trail rather than relying on periodic manual checks of client lists and portfolios. Our automated global sanctions screening solution consolidates all major sanctions lists into a single, continuously updated database, and screens portfolios, client lists, and counterparties against it on an ongoing basis. Because sanctions designations can change at any time, screening is maintained continuously with instant alerts on any new match or list change, rather than through scheduled reviews, and every check is logged to produce a complete audit trail for regulatory evidencing. Deployment is flexible, supporting standalone screening, batch upload processing, or API integration for pre-trade and post-trade monitoring depending on a firm’s existing infrastructure and risk appetite.

Beyond external sanctions and watchlist data, many firms need to enforce their own internal trading restrictions, covering material non-public information barriers, conflicts of interest, and firm-specific restricted or watch lists. Our restricted instruments monitoring service provides automated, ongoing monitoring of fund portfolios, separately managed accounts, and personal account dealing activity against these internal restricted instrument lists, flagging potential breaches as they arise rather than relying on periodic manual reconciliation. This gives compliance and risk teams consistent enforcement of internal trading policy across the organisation, strengthens personal account dealing oversight, and reduces the risk of inadvertent trading in restricted names slipping through unnoticed.

Automated screening and monitoring tools are only as valuable as the judgement applied when they surface a result, and false positives, ambiguous matches, and genuinely reportable findings all require experienced interpretation. Our automation across sanctions screening, restricted instruments monitoring, and regulatory reporting is complemented by a team with deep, hands-on expertise in fund data interpretation, anti-money laundering compliance, and global regulatory reporting. When an alert is triggered, our specialists examine the underlying data, validate whether the match or exception is genuine, and provide pragmatic, actionable advice on compliant remediation – combining the speed and consistency of automated technology with the judgement of experienced compliance and risk practitioners, giving firms confidence in both detection and resolution.

Operations Advisory

Structured support for due diligence and onboarding work that keeps trading relationships and counterparties compliant.

Regulatory and governance frameworks expect firms to demonstrate structured, documented due diligence on the third parties they rely on – administrators, custodians, prime brokers, technology vendors, and trading counterparties alike. Equally, firms must also respond to due diligence requests from their own investors, counterparties, and prospective partners. Our vendor and counterparty due diligence service supports both sides of this requirement. Rather than relying on informal or one-off checks, our vendor and counterparty due diligence service provides a structured, repeatable assessment framework. For firms that are themselves the subject of a due diligence request — from an investor, allocator, or counterparty — we help prepare the documentation, responses, and evidence needed to satisfy that request thoroughly and efficiently. This gives compliance, risk, and operations teams a documented, defensible due diligence trail that supports both regulatory expectations and internal governance and oversight obligations and can be run on an initial onboarding basis or as part of a periodic counterparty review cycle.

Opening a new trading relationship or counterparty account involves a significant amount of documentation, coordination, and follow-up across legal, operations, and compliance functions – work that is essential but often pulls experienced staff away from higher-value priorities. Our trading relationship administration service provides end-to-end support for onboarding new trading relationships and counterparty accounts, including documentation preparation and coordination, account opening administration, and ongoing operational workflow management, so internal teams are not tied up in repetitive administrative coordination every time a new relationship or account is established.

Regulatory change, internal reviews, and one-off operational initiatives all tend to arrive with tight timelines and a genuine need for experienced hands, but rarely justify a permanent new hire. Our ad-hoc regulatory project support service provides experienced compliance, risk, and operations resource for exactly these situations – regulatory change implementation projects, internal control reviews, remediation following an exam or audit finding, or operational initiatives requiring dedicated short-term attention. We step in, deliver against a defined scope, and step back, without disrupting a firm’s existing team structure or creating ongoing overhead once the project concludes.

Data Transformation & Automation

Turning fragmented, inconsistent data into a single, trusted, audit-ready foundation for reporting, compliance, and decision-making.

Quality, accurate data underpins every critical function – from investment decisions and performance measurement to client reporting, risk management, and regulatory filings. When data diverges across systems, multiple versions of the same transaction can emerge from investment, custody, performance, and accounting books alike, triggering a recurring reconciliation process just to establish what is actually correct. As data sources and investment strategies multiply, many firms find themselves trapped in a cycle of reconciliation, delayed reporting, and missed opportunities – a problem that compounds further once AI or other automated decision tools are layered on top of unreliable inputs.

We unify portfolio, trade, market, reference, and client data from disparate internal and external sources into a single, high-performance layer, removing the need to switch between systems to see the full picture.

Embedded validation, reconciliation, and exception handling catch errors at source rather than at month-end, so only trusted data enters the reporting and decision-making environment.

Data models are designed to support scalable reporting, regulatory change, and evolving investment strategies, built to adapt as requirements shift rather than requiring a rebuild each time.

Clear data lineage and visibility across the data lifecycle safeguards availability, security, and compliance across a firm’s most sensitive investment data assets, supporting the audit trails that regulators and investors increasingly expect.

This capability underpins several of our other services directly: it is the same data discipline that supports our shareholding disclosure, Annex IV, and US regulatory filing products elsewhere on this page, delivered here as a standalone engagement for firms whose data challenges sit on top of any single reporting obligation.

Operations Support available directly by our clients:

Shareholding disclosure (SSR/MSH/Takeover Panel/sensitive industries):

UK/EU short selling and major shareholding notifications – monitored and filed on a managed-service basis. 

Restricted instruments monitoring:

Automated monitoring of portfolios, SMAs, and personal account dealings against internal restricted lists. 

Annex IV / AIFMD II reporting:

Periodic regulatory reporting for AIFMs – we handle the data, the filing, and the ongoing cycle. 

Middle and back office operational support:

Fractional support for managers who need experienced resource on an ongoing or project basis without the cost of a full hire. 

US regulatory filings:

Form 13F, Form 13H, Form ADV support, and Form PF for managers with US investor exposure or SEC registration requirements. 

Data transformation and ETL:

Consolidation of data from disparate sources into a single, audit-ready dataset – reducing manual effort upstream of filings and reporting. 

CFTC/NFA filings:

CPO-PQR, CTA-PR, and speculative position limits monitoring for managers with commodity or derivatives exposure. 

Vendor and counterparty due diligence:

Structured third-party assessments supporting regulatory and governance obligations. 

Sanctions screening:

Automated global screening of portfolios and client lists, with instant change alerts and continuous monitoring. 

Trading relationship administration:

End-to-end onboarding of new trading relationships – documentation, account opening, and ongoing workflow. 

Ad-hoc regulatory project support:

Experienced resource for regulatory change projects or operational initiatives, without the overhead of a permanent hire. 

Risk function services:

Practical advisory across investment, portfolio, and regulatory risk, including governance and oversight reviews and risk reporting. 

Global Financial Sanction Screening & Investment Monitoring Against External Data 

Blueprint GRC’s automated monitoring tools ingest fund, SMA, client lists or personal account holdings and transaction data to make real-time evaluation against the world’s most prominent financial sanction lists.  

Through prompt email alerts, compliance or risk teams are notified of changes in global sanction lists and potential matches, with the context needed to investigate further – saving time, effort, and potential reportable breaches.  

Investment Portfolio & Personal Account Dealing Monitoring Against Internal Data 

Beyond external data, Blueprint GRC enables clients to monitor fund portfolios, SMAs, and personal account holdings against internal restricted instruments lists. 

This additional layer of oversight helps firms enforce internal policies consistently, reducing the risk of inadvertent trading in restricted instruments and strengthening governance practices. 

Expert Human Oversight 

Our automation is complemented by a team with deep expertise in fund data interretation, AML and regulatory reporting. When alerts are triggered, our specialists are available to examine findings, validate results, and provide pragmatic advice on compliant remediation. This unique combination of technology and human expertise provides confidence in both detection and resolution. 

Shareholding Disclosure & Global Regulatory Reporting

Blueprint GRC helps asset managers stay ahead of complex global reporting obligations. 

We receive and analyse large volumes of fund- or SMA-level shareholding and transaction data, identify regulatory requirements, and transform it into the correct format and ready-to-submit filings.

Our real-time data analysis and reporting services (available now or coming online) support you in: 

  • Meeting SEC requirements with streamlined Form 13F and 13H submissions
  • Staying compliant through accurate Short Position Disclosure Reporting
  • Avoiding disclosure breaches with automated Material Shareholding tracking
  • Simplifying takeover compliance with Takeover Panel Monitoring
  • Managing trading risk by monitoring exchange-imposed position limits in commodities 
  • Reducing AIFMD complexity with Annex IV reporting
  • Fulfilling U.S. NFA obligations via CPO-PQR and CTA-PR filings

With Blueprint GRC, compliance teams gain confidence, efficiency, and a push-button pathway from data to submission. 

Meeting needs. Exceeding expectations.

Contact us today