Design, implement, and assess your capital markets programs and processes.

Treliant’s highly experienced team of former in-house compliance officers, traders, and regulators can help your organization design and implement robust and sustainable capital markets programs and processes, including those related to broker-dealer compliance, culture and conduct risk management, Foreign Corrupt Practices Act/U.K. Bribery Act compliance, fixed income sales and trading, including primary dealer, fraud risk management, sales practices compliance, and surveillance. We can also assess the efficacy of your programs through a health check, gap analysis, and independent audit.

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Broker-Dealer Compliance

Treliant was engaged by large European financial institution to perform an assessment of the financial crimes related risks (i.e. money laundering and sanctions evasion) in its capital markets business.

  • Treliant assisted the firm in identifying control weaknesses which informed the development of internal control enhancements that strengthened the firms focus on rooting out financial crime in its capital markets business and broker-dealer.

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Treliant works closely with its clients to understand their needs and design an appropriate work plan and approach to each engagement. Learn more when you connect with our team.