The Business Case: positioning and organising the compliance function for Longbow

A risk-based · proportionate · business-oriented · digitally-integrated compliance function.
This deck was prepared for Longbow Finance by Ivan Nappo. It contains illustrative information only and is fully based on assumptions (no NDA signed, and no real information shared).
Deck slide
Orientation

The global structure (mock-up)

Every entity, fund and vehicle, pinned by jurisdiction and lit by risk. Select any node to inspect it. The entities below are dummy examples, for illustration only.

Lower risk Medium Elevated Geneva hub
Select an entity

Twelve entities across eleven jurisdictions. Click a node to see its type, jurisdiction and current risk posture.

The Compliance Framework

Three lines of defence
The backbone
Key Risks & Priorities

The regulatory risk radar

Inherent risk against current control maturity. Upper-left is where we act first. Select a node for the FINMA / CSSF tie and the why.

Inherent risk →
Control maturity →
Select a risk

Nine priority areas, each tied to a specific FINMA or CSSF expectation.

First 3–6 & 12–24 Months

The roadmap

Listen first. Then build the spine, embed it, and automate. Each phase names the risk it retires.

What good compliance looks like

How you'll know it's working

A trusted partner is measurable. These are the signals I'd report to ExCo.

Worked Examples · ExCo Briefings

From principle to practice

Two ExCo regulatory e-briefing mock-ups (unarrated) that you can navigate slide by slide — plus a regulatory heat-map example and an exec brief. These deliverables are for illustration purposes.

ExCo briefing · TranspaRegLTPM — beneficial ownership, on the record
LTPM slide
ExCo briefing · CISAL-QIF — the Swiss Limited Qualified Investor Fund
L-QIF slide
Exec viewCompliance digitalisation — the heat map

Inherent risk × current maturity; the burning platform is the first wave.

Compliance digitalisation heat map
Exec briefTransparency-register reconciliation

A statutory deadline turned into an automated, audit-ready control.

Transparency-register reconciliation