Our regulatory compliance consulting practice advises clients across the full spectrum of compliance, governance, and risk management matters, working in partnership with the firm’s lawyers to deliver holistic, comprehensive and business-focused advice.
Comprised of experienced individuals who have held senior positions within global financial institutions and consultancies, as well as former regulators, our team focuses on helping risk and compliance functions discharge their responsibilities, delivering independent assurance, attestation and remediation services, and improving the efficiency and effectiveness of control environments and governance frameworks.
We work on projects of all sizes – from large business transformations and remediation programs to helping clients review and improve their processes, to providing ongoing advice on practical solutions. Our teams are tailored to the needs of each assignment, ensuring that our solutions are robust, efficient and sustainable – and in line with the client’s risk appetite and operating model.
Our regulatory compliance consulting practice is a key component of our wider risk advisory offering, which provides proactive, integrated and global advice in relation to the new and quickly evolving risk landscape clients are facing as a result of the unprecedented disruptions caused by regulatory change across the world.
Our areas of work include
- Board reporting and management information
- Board training and development
- Compliance frameworks
- Controls testing
- End-to-end remediation project delivery
- Financial crime frameworks and processes
- Governance and oversight arrangements
- Ongoing compliance monitoring and compliance advice
- Regulatory change (e.g. Brexit, UK Senior Managers and Certification Regime, EU Payment Services Directive (PSD2))
- Regulator engagement, including support across regulatory reviews and visits
- Regulator-mandated reviews (e.g. skilled persons s166 reports under the UK’s Financial Conduct Authority)
- Regulator reviews, including mock interviews, visit preparation and management assistance
- Risk management frameworks, assessments and measurements