Regulatory Compliance
Service / Financial Services Consulting
Our Financial Service Regulatory Compliance Consulting Practice is dedicated to providing comprehensive and expert advice to help your business navigate the complex world of financial regulations.
Our team of experienced professionals offers a range of services to ensure your business remains compliant and adapts to the ever-changing regulatory landscape.
Our capabilities are focused on providing solutions to help institutions comply with the key regulations and regulatory frameworks that financial institutions are subject to, including prudential regulations, consumer protection, payments, and securities.
We help financial institutions develop, implement, and manage tailored compliance programs to meet their compliance obligations and drive additional value to the business.
1.
Minimize regulation risks through effective program implementation across people, process, and technology.
2.
Reduce the cost of compliance through more effective leveraging of technology, analytics, automation, and artificial intelligence.
3.
Mitigate the impact of potential fines and damages by proactively identifying issues and remediating actions.
4.
Maintain compliance through monitoring pending laws, policy changes, and regulatory examination and enforcement behavior to stay ahead of the curve.
Key Focus Areas
Financial Crimes Compliance
Regulatory Strategy
We have experience handling mergers with horizontal and vertical aspects including mergers involving multi-sided platforms and have advised merging parties, intervenors, and antitrust authorities.
Technology & Analytics
Our team offers consultative problem-solving and core compliance support to help your business anticipate and adapt to regulation changes.
Regulatory Reporting
Leveraging advanced data management capabilities to build quantitative models, automate risk management processes, and create the underlying data environment to support technology-driven strategies.
Operational Risk and Enterprise Risk Management (ERM)
We offer services such as Risk & Control Self-Assessment (RCSA) design and execution, ERM program development and execution, and management control design and implementation to effectively identify and assess key organizational risks and controls.
Financial Risk Management
Our consultants provide expert advice on credit, market, and other financial risks to help your business make informed decisions.
How We Help Clients
Financial services companies engage us across the regulatory compliance lifecycle from responding to events, resolving and mitigating issues, transforming their capabilities, and continually improving them.
Focus Areas
Response
+ Regulatory interaction and engagement
+ Rule forecasting
+ Impact assessment and mitigation strategy
+ Rule interpretation and policy updates
+ Submission reviews
+ Remediation planning and execution
Assessment and Roadmap
+ Strategic assessment
+ Implementation planning
+ Change impact analysis
+ Dependency identification
+ Resource planning and estimation
Transformation
+ Program and change management
+ Requirements analysis
+ Architecture and design
+ Implementation support
+ Risk mitigation
Evergreen Improvements
+ Service quality assessment
+ New regulation horizon scanning
+ Regulatory change impact analysis
+ Monitoring and testing
+ Process improvement
+ Governance and reporting
Our Experience
Our team comprises seasoned professionals with diverse backgrounds, including experience working for regulators, large consultancies, and financial institutions. This broad range of experience allows us to provide tailored solutions that address the unique challenges faced by your business.
Global Reach
Our consulting practice has a global reach, enabling us to provide comprehensive global compliance and regulatory management solutions. We stay up-to-date with the latest regulations and supervisory requirements to ensure your business remains compliant and adapts to new risks to the financial system.
Customized Solutions
We understand that every business is unique and work closely with you to develop customized solutions that address your specific needs and challenges. We aim to partner with your business and translate financial regulations into practical, actionable plans tailored to your culture.
Why choose us?
Choose our Financial Service Regulatory Compliance Consulting Practice to ensure your business remains compliant and thrives in the ever-changing financial landscape. Contact us today to learn more about how we can help your business navigate the complex world of financial regulations.
Team
John M. Keller
President
Leadership
Christopher Carrigan
Principal
Economic Consulting
Paul Mokdessi
Principal
Financial Services Consulting
David Onorato
Principal
Financial Services Consulting
Christopher S. Rigg
Principal
Financial Services Consulting
Alan Demers
Principal
Financial Services Consulting
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