One Compliance Person Can Cover A Full Regulatory Function. Here Is How.
Without failing FCA approval, without hiring at £150k, and without working a single extra hour. The seven parts of the sole-officer load you can legally hand off this month, and how to prove your controls are working before the FCA ever asks.
Free PDF guide
Doing the Job of Three
The sole compliance officer's field manual: the seven parts of the load you can legally hand off, and how to prove your controls are working before anyone asks.
Artizan Governance
Free. No card. One click to unsubscribe.
- $850bn+ in client assets under frameworks built
- $700bn MiFID II build across EMEA
- Two decades at the regulatory coalface
- Seven regulators, one coherent framework
Inside Doing the Job of Three
The nine control points where the FCA asks show me it is working, with the exact evidence that answers each one.
The seven parts of the load you can legally hand off under a retained in-house SMF, and the parts you must keep on your own name.
What the regulator has actually said about part-time SMFs, and the one structure that is compliant by design.
The hire versus fractional maths for a firm your size, so the decision stops being a feeling and starts being a number.
Tools you keep. Not tips you forget.
The Documented-vs-Evidenced Checklist
The nine control points where the question changes from do you have it to show me it is working, and the specific evidence that answers each. This is the gap that cost Monzo £21.1m.
The Offload Map
Every part of the sole-officer load, sorted into what can move under a retained in-house SMF and what stays on your own name. Most people are surprised by how much sits in the first column.
The Hire-vs-Fractional Cost Calculator
Find your firm by size and watch the real first-year cost of a full-time head appear in black and white, next to what the role actually needs in hours.
The Sole-Officer Exposure Scorecard
Twelve questions that score where your personal exposure actually sits and tell you the single gap to close first. Twenty minutes, and it is uncomfortable in a useful way.
One email. The whole kit.
Doing the Job of Three, the full field manual
The Documented-vs-Evidenced Checklist, nine control points
The Offload Map
The Sole-Officer Exposure Scorecard
A free 30-minute Compliance Cover Call, where I run the widest gap in your own framework with you
Who’s behind this
Asad Bukhory
Founder, Artizan Governance
Asad has spent two decades at the regulatory coalface, holding sole SMF16 and SMF17 roles personally and building the controls behind some of the largest balance sheets in this market. More than $850bn of client assets sit under frameworks he built, including a $700bn MiFID II build across EMEA, harmonised across seven regulators. He founded Artizan to bring that standard to the firms that need it most and can rarely reach it: the ones where the entire control function is one person.
One Compliance Person Can Cover A Full Regulatory Function. Here Is How.
Without failing FCA approval, without hiring at £150k, and without working a single extra hour. The seven parts of the sole-officer load you can legally hand off this month, and how to prove your controls are working before the FCA ever asks.
Free. No card. One click to unsubscribe.
Questions, answered
Is this actually free, and is there a catch?
It is free and there is no catch. No card, no trial. You give me a name and a work email, I send you the access link. If the emails afterwards are not useful, one click and they stop.
I am not an AIFM. Is it still worth my time?
Probably, if you manage alternatives in any form. Most of the programme is governance, valuation, delegation and reporting practice the FCA applies well beyond the AIFMD perimeter. If you run long-only UCITS and nothing else it will be less useful, and I would rather tell you that now than waste your evening.
How long does it take, and do I have to do it in one sitting?
Roughly four hours across sixteen modules, and no. It is built to be picked up and put down, which is the only realistic way anyone in this job gets through anything.
Artizan Governance: governance, risk and compliance for FCA-authorised investment firms. From documented to evidenced.