Regulatory risk
Missed filings, controls that were never run, and a thin inspection file lead to SFC findings, licence conditions and fines.
Solution partners to EAMs & family offices
The operating partner behind a well-run firm.
Eion provides the professional services and solutions that let external asset managers and family offices operate to an institutional standard, starting with compliance and the controls behind it.
You remain the licensed and accountable party. We make that responsibility manageable.
We understand the load you are carrying
Small firm, institutional obligations, and risk that is bigger than it looks.
A licensed EAM or family office with a handful of staff carries broadly the same control obligations as a firm many times its size, often without a proper operating platform or control framework to run them. Most manage on spreadsheets, email and one trusted person. That gap is quiet, until it is not.
Client risk
Onboarding gaps, suitability lapses and mishandled complaints put client trust and your reputation on the line.
Operational risk
Manual checks fail quietly and errors surface late, usually when they are most costly to fix.
Key-person risk
When the whole process lives in one person’s head, a single absence can stop it.
The exposure is real, and almost always larger than it feels day to day. That is what we take off your desk.
What we do
We are your compliance control function, not a report about one.
Eion runs the day-to-day. We operate your controls on a set cadence, produce the evidence as we go, and stand beside you when the SFC is on site.
Run the controls
Your regulatory controls operate to a schedule, with named owners and tracked exceptions. Not a periodic review that finds problems months later.
Produce the evidence
Each control leaves a record as it runs, retained and organised. The inspection file builds itself over the year rather than in the week before.
Prepare and support inspections
We walk the firm through what an SFC on-site inspection asks for, close the gaps we find, and support you through the inspection itself.
People-led, AI-powered
Traditional providers still throw people at every task. We pair senior practitioners with an AI-driven control engine that handles the scanning, screening, monitoring and evidence capture, so our people spend their time on judgement, not admin. Human expertise and an AI engine working as one, at a cost a firm your size can carry.
Practitioners, not advisers
Practitioners, not advisers
Advisers tell you what the rules require and leave you to implement them. Our team owned and has run these functions inside international top-tier private banks.
We do the work and implement solutions
How it works
How we work with you.
Setup is deliberate and finite. After that, it is a rhythm you can rely on, and you always know what is outstanding and who owns it.
- 01
Scope and map
We review your licence types, business model, staff and client base, and whatever controls you run today. We map your obligations against our control catalogue and show you the gaps. You get a control plan tailored to your firm, with owners, cadence and escalation agreed.
- 02
Set up and hand over
We tailor an off-the-shelf compliance manual to your firm, load your controls onto the platform, and set the schedule, alerts and evidence templates. We brief your staff on what they submit and when. You get a live control environment and a compliance manual that is specifically yours, not a generic binder.
- 03
Run and monitor
Controls run to schedule: staff dealing and declarations, entity reporting deadlines, periodic reviews. Exceptions are raised, chased and closed. We meet on a regular cadence to walk through status and anything that needs your decision, so nothing lives in one person’s head.
- 04
Evidence and inspection support
Every control leaves a dated record as it runs, retained and organised in your inspection file. Periodic reviews keep the manual current as rules and your business change. When the SFC comes on site, the file already exists, we prepare your team, and we sit with you through it.
What stays with you: you remain the licensed and accountable party and make the judgement calls. We run the machinery and bring you the decisions.
Service overview
The control catalogue, at a glance.
For firms licensed for Type 1, 4, 6 and 9 activities. The areas we cover day to day. Scope is agreed per firm.
Entity-level regulatory reporting
Recurring returns and notifications, prepared, checked and filed to deadline, with the working papers retained.
Staff compliance
The conduct obligations your people carry under SFC rules, tracked and evidenced on a schedule. Personal account dealing, declarations and attestations, licensing and training, outside interests and fitness, kept current and inspection-ready.
Client onboarding and KYC
Onboarding checks, name screening and periodic review, designed into the catalogue and introduced as your firm requires.
Inspection readiness
A maintained inspection file, walkthroughs with the people who will be asked, and support on site when the SFC arrives.
Why Eion
Built by the people who used to run this in-house.
Private-bank practitioners
Senior operators who have run compliance and control functions inside private banks, at a standard set by large-institution supervision.
A control catalogue that already exists
We do not start from a blank page. The catalogue is built, so setup is faster and execution is consistent between firms and over time.
Human expertise, multiplied by AI
Our competitors run a traditional, people-only model. We combine deep practitioner judgement with an AI and automation engine, so routine work is automated and our specialists focus where judgement matters. The result is faster setup, more consistent execution, and coverage that does not depend on one person’s memory.
Trained, with cover
More than one person is trained on your controls. Your function does not stop because someone is away.
A direct line
A small senior team. When something needs a decision, you reach a person who knows your firm, not a queue.
Team
Led by people who ran the controls at the top of global banks.
Eion is led by a small, senior team. Its leadership held Chief Operating Officer positions at top-tier global private banks and wealth managers, with more than two decades running the operations, controls and risk functions that supervised institutions are held to.
20+ years
of COO-level leadership at top-tier global banks, behind the team’s leadership.
Careers built inside the world’s leading private banks and wealth managers, including J.P. Morgan, Citi, HSBC, Credit Suisse and Société Générale, running the operations, controls and risk functions that supervised institutions answer to. We bring that standard to firms a fraction of the size.
Accountable judgement
Decisions made by people who have carried the accountability themselves, so your firm can operate with the discipline of a supervised one.
Institutional leadership
Careers that reached Chief Operating Officer at top-tier global private banks and wealth managers, accountable for the operations, controls and risk functions of supervised institutions.
Private-bank practitioners
Regulated control functions run from the inside, at scale, not advised on from the outside.
Regulatory depth
First-hand experience across entity-level reporting, staff dealing, client onboarding, KYC screening and surveillance, and preparing firms for SFC on-site inspections.
Platform, AI and automation
Senior leadership in managing business platform and a team of AI professional building automated control engine for the asset managers.
Contact
Tell us where you are, and we will tell you what we would do.
Preparing for an inspection, between compliance hires, or standing the function up for the first time. A short conversation is usually enough to see whether we fit.
Or email us directly
sales@eionsolutions.com