December 22, 2025 · 1 min read · Harlyz Advisory
Why firms outsource early
Early-stage and newly licensed firms often need experienced compliance leadership without adding fixed overhead. Outsourced support can be effective when governance and accountability are clear.
What regulators expect
- Clear oversight responsibilities and reporting lines
- Evidence that the board receives regular compliance updates
- Documented escalation paths for incidents and SARs
A balanced model
Outsourcing works best when combined with internal control owners who can provide evidence and respond quickly to regulator requests.