Regulatory change, compliance & control

Overview

Our unique combination of experience and specialism helps industry leaders navigate regulatory complexity and change efficiently and effectively. We have extensive experience in designing and implementing fit for purpose compliance programmes and solutions to monitor, manage, measure and reduce compliance risks. We are experts in ensuring clients have efficient and compliant operations that transparently demonstrate compliance with regulation.

Specialisms

We offer a number of intelligent, focused components which together form a complete regulatory compliance infrastructure:

  • Control identification, design and coverage analysis, along with recommendations for improvement
  • Legal entity assessments (within any regulatory scope)
  • Process and control remediation to align with regulatory requirements
  • Regulatory libraries that are fully classified and mapped to business line activities and all control functions
  • Regulatory readiness work ahead of, or to operationally comply with, any regulation

We have a variety of structured and measurable approaches to constructing efficient and accountable control testing:

  • Key control determination and control inventory rationalisation
  • Monitoring and testing programme design and implementation
  • Outsourced providers to support ongoing compliance monitoring
  • Testing to support and inform the compliance function

Our detail oriented, structured approach ensures the best possible strategic and organisational fit including:

  • Detailed use case operational scenarios
  • Functional needs elicitation
  • Implementation readiness and support
  • Integration and migration planning
  • Use case based proof of concept evaluations and scoring
  • Vendor and maturity identification
  • Vendor engagement and use case provision

We provide full front to back operational models and methodologies across all aspects of regulatory compliance and risk control:

  • Enterprise compliance programme design, delivering aggregated risk control and prioritization
  • Process design and documentation for centralized functions (compliance, testing, risk)
  • Risk control and risk assessment design and solutions
  • Regulatory change management process design

As industry experts, clients confronted by an avalanche of regulation look to us to implement change and alter their organisational behaviour. We monitor and track regulatory policy globally, which has given rise to specialist knowledge and an ongoing understanding of new regulations and their impact upon a client’s business. Our knowledge and foresight ensure that a client is compliant but also benefits from strategic planning.

  • Change implementation
  • Impact and opportunities analysis
  • Operating model design
  • Regulatory advice for the buy and sell-side including SFTR and CSDR
  • Regulatory assurance
  • Regulatory driven change
  • Regulatory reporting

Talk to our specialists

Chris Crowe

Managing partner