Navigating the myriad of regulatory compliance requirements.

Professionals in our Risk and Regulatory Compliance practice group help deliver project, programme, and change management initiatives that enables financial services institutions to meet their regulatory obligations, protect shareholder value and manage risk as a competitive differentiator.

Our network of professionals are currently involved in helping organisations deliver programmes of work around Financial Crime Monitoring, Sanctions Compliance, Transaction monitoring for Anti-Money Laundering, Payments Services Directive, FATCA (Foreign Accounts Tax Compliance Act), Dodd-Frank Act and Industry Account Switching.

Examples of our work.

• Implementing a financial sanctions centre of operational excellence for a leading retail bank – within time and to budget.
• Designing and managing a tracking mechanism for the roll out of sanctions training to c5,500 individuals across the corporate markets division of a large banking group - ensuring everyone was appropriately trained within the required timescales.
• Implementing a Group Wide Payments Compliance Control Framework for a leading banking group and completing compliance assessment of over 2,500 in-flight projects to ensure the integrity of payments compliance is maintained as people, process and technology projects are delivered.
• Managing a team of 30+ analysts responsible for undertaking tactical screening and investigation activities for Customer Sanctions, Payments Sanctions, AML, and PEPS compliance for a leading retail banking group.
• Supporting the initiation of a group-wide FATCA programme at a leading banking group to understand and deliver the technology and operational changes required to ensure FATCA compliance across all divisions of the group - including joint ventures, subsidiaries and third parties.