We are compliance experts providing specialist regulatory consulting services delivered by former in-house practitioners.
We provide our consulting clients with access to our extensive network of senior regulatory specialists. This network stretches back well over 20 years and offers to our clients individuals who have worked at investment banks, private banks, brokerages, asset managers, regulators and consulting firms.
Our team of consultants can provide tailored consulting assignments on a wide range of compliance technical disciplines and specialist areas set out below
Compliance practitioners who have worked in the following fields:
Compliance advisory experts and product specialists:
- Global Markets (Equities and Fixed Income, Commodities and Currencies)
- Capital Markets and Corporate Finance
- Private Banking and Wealth Management
- Stockbroking
- Asset Management
- Hedge Funds
- Private Equity
Operational Compliance Specialists:
- Specialists in Client Assets, Trade and Transaction Reporting Monitoring, Surveillance and Testing programmes
- Experienced Compliance Trainers
- Policy specialists
- Central and Employee Compliance
- Research and Control Room
Business transformation and regulatory change:
- Delivery of regulatory change and implementation programmes (eg MIFID, EMIR, Volcker, Dodd-Frank, MAR, MAD)
- Project management and business analysis
- Business transfers to new entities and locations
- Support to new regulatory authorisation applications
- Business mergers and integrations (implementation of consolidated compliance programmes)
Compliance specialists in a wide range of technical disciplines including:
Financial Crime Compliance and Transformation:
- KYC and AML remediation
- Organisation transformation
- Regulatory remediation projects
- Specialists in Sanctions and ABC compliance
- Financial Crime reviews
- Risk appetite framework specialists
- MI and KRIs
- Transaction monitoring
- Financial crime know you customer and know your supplier compliance due diligence and workflow software
Specialist technical areas:
- Derivatives reform experts (Dodd-Frank and EMIR)
- Product governance
- Conduct risk experts
- LIBOR Transformation and Benchmark reform
- Whistleblowing
- Brexit compliance
- Cross-border
- Best execution
- Algorithmic trading compliance
Experienced practitioners who can advise on new regulatory themes:
- ESG, Green finance and climate change risk management
- Cryptocurrencies
- Reg and FinTech strategy
Senior Compliance practitioners including former Chief Compliance Officers, MLROs, Departmental Heads and Material Risk Takers:
Board Level experts:
- Provision of senior SME advice and NED expertise to Board
- Compliance organization functional design and strategy
- Construction and review of annual compliance programmes
Advisors who can manage regulatory incidents and remediation:
- Management of S166 investigations and remediations
- Management of regulatory deliverables
- Regulatory examination specialists (eg NFA Swap Dealer examination)
- Management of enforcement processes
- Audit point and operational risk incident remediation
Experts in the Senior Managers and Certification Regime:
- Design and delivery of SMCR frameworks across a range of different firms
- Training SMRs on their regulatory obligations
- Review of framework effectiveness
Latest Compliance Consulting articles from our Knowledge Centre
