Compliance Programs and Regtech Solutions

The rapid development of new financial services business models (and related technology) along with an uncertain legal and regulatory framework for these businesses has created challenges for financial services firms of all sizes. We offer a range of services, including high level strategy, regulatory roadmaps, development and implementation of risk management programs, establishing governance protocols and installing operational efficiencies that can help forge a path through these obstacles.

    Compliance and Risk Management Programs

    • Compliance management system (CMS) assessments
    • Risk management program development and implementation
    • Policies and procedures
    • Risk assessments
    • Governance, structure and staffing review
    • Risk metrics and reporting
    • Consumer protection compliance
    • Unfair, deceptive, or abusive acts or practices (UDAAP)
    • AML programs
    • Anti-bribery and corruption compliance programs
    • Ethics programs/code of ethics 
    • Complaint management
    • Regulatory change management
    • Information security/privacy
    • Incident response programs (including event response)
    • Regulatory examination support (mock exams, exam preparation and remediation)
    • Training programs (including board training)
    • Whistleblower program
    • Audit and remediation
    • Interim staffing (CCO)
    • Development of corrective action processes
    • Third party risk - vendor management oversight and due diligence
    • Cybersecurity strategy development and program design
    • Expert witness services
    • Subpoena and law enforcement requests 
    • Due diligence related matters

    Regtech Solutions

    • Related tools (AML, cybersecurity, etc.)
    • Vendor diligence and oversight
    • Systems review and implementation
    • Audit/Testing
    • Monitoring and reporting tools
    • Data analytics and remediation