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.
Reliable and up to date
- Aligned with FINMA and FMA best practice
- Documentation audit-ready at all times
- Tailored to your business model
- German, English and French
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 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 AG do?
Peak Compliance AG, based in Zurich, takes over the compliance and risk management function of portfolio managers, managers of collective assets and family offices in Switzerland and Liechtenstein. Peak Compliance covers the entire second line of defence from a single source, supports licensing procedures before FINMA and the FMA, runs anti-money laundering units and offers online training for the Swiss client adviser register.
What does compliance outsourcing in Switzerland include?
Compliance outsourcing in Switzerland with Peak Compliance includes an outsourced compliance officer, the anti-money laundering unit, policies and regulatory monitoring. The law allows portfolio managers to delegate risk management and internal control to a qualified external body (Art. 21 FinIA). The board and executive management receive clear, regular reports, while the institution focuses on clients and portfolio management.
What does compliance and risk outsourcing in Switzerland cover?
Compliance and risk outsourcing in Switzerland with Peak Compliance covers the entire second line of defence: the compliance function and risk management with a fully digital internal control system. Peak Compliance takes over both with a clearly defined scope and at a monthly fixed price, which the institution receives with the proposal after the needs assessment. Onboarding takes place on site or remotely.
Which services does Peak Compliance offer for compliance outsourcing in Liechtenstein?
For compliance outsourcing in Liechtenstein, Peak Compliance takes over the compliance and risk management function for institutions supervised by the FMA. Peak Compliance also supports licensing procedures before the FMA. Institutions that prepare their licence with Peak Compliance can outsource the compliance and risk management function from the first day of business, with onboarding on site or remotely.
Who is behind Peak Compliance?
Isabelle Ledergerber and Reto Picenoni founded Peak Compliance AG in Zurich. Peak Compliance holds mandates with portfolio managers supervised by FINMA and the FMA, cooperates with the supervisory organisations AOOS and OSFINcontrol and has experience with licensing procedures before FINMA and the FMA. The team is presented on the About us page.
How does an engagement with Peak Compliance start?
An engagement with Peak Compliance starts with a free initial consultation about the organisation and its objectives. Peak Compliance then reviews the current compliance and risk framework and prepares a proposal with scope and fixed price; for licensing, the price follows a needs assessment. The agreement can be accepted online, and onboarding takes place on site or remotely.
