Regulatory Compliance and Operations

Our team of former regulators, Chief Compliance Officers, Chief Risk Officers, and banking executives helps you meet the challenge of evolving regulatory requirements

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Delivering Value at Every Step

  • Our team of regulatory compliance and operations experts have proven track records of delivering high-quality results across the banking industry.
  • We have a practitioner’s appreciation for the regulatory environment and your place within it. We assess the maturity of your risk and compliance culture, the size and risk profile of your institution, and the competition for investment dollars to propose an appropriate solution for your needs.
  • Our experts listen to your needs, provide appropriate advice, and guide you through the implementation – whether you are looking to prepare for a regulatory examination, remediate identified risk, optimize operational processes, or implement new programs.

  • Our team of regulatory compliance experts have deep experience working with, or at, prudential regulators, state agencies, and many international regulatory bodies. Most have had long careers as compliance and risk practitioners at banks, non-banks, and fintechs – so they have experienced first-hand the dramatic events of the modern banking era.
  • We monitor the pulse of the legislative and regulatory environment and maintain strong relationships with the leading regulatory agencies. This prepares us to guide you on what to anticipate from regulators and how to prepare for regulatory examinations.
  • The team benefits from a strong roster of senior advisors with long careers in the banking industry and the regulatory agencies. Our advisors are actively engaged in influencing the legislative and regulatory environment on behalf of the financial services industry.

  • When assessing your needs, we take into account your priorities, risk appetite, size, and maturity to deliver a solution at the appropriate level of sophistication for your firm.
  • We adapt best practices garnered from our work with the largest, most complex firms to address the needs you have, without adding unnecessary cost or operational burden.
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Our Services

Enterprise Risk and Compliance Management Programs

Enterprise Risk and Compliance Management Programs

We deliver integrated compliance management programs to effectively manage existing and emerging risks

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Fair and Responsible Banking

Fair and Responsible Banking

We partner with financial institutions to promote ethical, transparent, and socially responsible banking practices, driving positive impact for all stakeholders

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Monitoring, Testing, and Audit

Monitoring, Testing, and Audit

We provide advisory, co-sourced, and out-sourced testing services to ensure compliance with regulatory requirements and best practices

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Operational Excellence

Operational Excellence

We support your drive for operational excellence and help you manage non-financial risks

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Data Governance

Data Governance

We improve your bottom line, as well as your regulatory compliance, with our formal, systematic approach to measuring and uplifting Data Governance

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Ready to Talk?

We work with you to understand your needs, so we can tailor our approach to your engagement. Learn more when you connect with our team.

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