Services
Compliance outsourcing
outsourced compliance officer, AML unit, policies and regulatory monitoring
Learn more →Risk management outsourcing and ICS
risk management with a fully digital internal control system
Learn more →FINMA and FMA licensing
support throughout the procedure up to the decision
Learn more →Compliance outsourcing Liechtenstein
for institutions supervised by the FMA
Learn more →SRO affiliation
support with the affiliation application for financial intermediaries
Learn more →AML and compliance training
on site or via e-learning
Learn more →All services at a glance: Services. Institutions that prepare their licence with Peak Compliance can outsource the compliance and risk management function from the first day of business.
How an engagement starts
- 1Initial consultationa free conversation about your organisation and objectives.
- 2AnalysisPeak Compliance reviews your current compliance and risk framework.
- 3Proposalyou receive an offer with scope and fixed price (licensing after a needs assessment).
- ✓Startaccept the agreement online; onboarding on site or remotely.
Compliance and risk management from a single provider
Portfolio managers must have risk management and internal control that ensure compliance with legal and internal rules. The law allows these tasks to be delegated to a qualified external body (Art. 21 FinIA). Peak Compliance takes over the entire second line of defence – compliance and risk management – with a clearly defined scope and at a monthly fixed price, which you receive with the proposal after the needs assessment. The board and executive management receive clear, regular reports, while you focus on clients and portfolio management.
Working with
Why Peak Compliance
- Mandates with portfolio managers supervised by FINMA and the FMA
- Cooperation with the supervisory organisations AOOS and OSFINcontrol
- Experience with licensing procedures before FINMA and the FMA
- Founded in Zurich in 2024 by Isabelle Ledergerber and Reto Picenoni; meet the team under About us
Get to know Peak Compliance: book a free initial consultation via the contact page.
At a glance
| What | Compliance and risk management function (second line of defence), licensing, training |
| Who it is for | Independent portfolio managers, managers of collective assets, family offices; client advisers registering in Switzerland |
| Where | Switzerland and Liechtenstein; registered office in Zurich |
| How | The entire second line of defence from a single source; on site and remote |
Frequently asked questions
What does Peak Compliance do?
Peak Compliance takes over the entire second line of defence for portfolio managers, managers of collective assets and family offices: compliance, risk management and internal control from a single source. It also supports licensing procedures, runs anti-money laundering units and provides training.
Where is Peak Compliance based?
Peak Compliance AG has its registered office at Othmarstrasse 8, 8008 Zurich, Switzerland. In Liechtenstein: Werdenbergerweg 11, 9490 Vaduz.
When was Peak Compliance founded?
Peak Compliance AG was founded in Zurich in 2024. Its co-founders are Isabelle Ledergerber (Managing Partner) and Reto Picenoni (Board member).
How can I get in touch?
Via the contact page: book a free initial consultation online, send us the form or call us – every way to reach us on one page.
