Regulatory Compliance

Regulatory Compliance 


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, 支付, 和证券.  


We help financial institutions develop, 实现, and manage tailored compliance programs to meet their compliance obligations and drive additional value to the business, 包括: 


  • Minimize regulation risks through effective program 实现ation across people, 过程, 和技术. 


  • Reduce the cost of compliance through more effective leveraging of technology, 分析, 自动化, and artificial intelligence. 


  • Mitigate the impact of potential fines and damages by proactively identifying issues and remediating actions. 


  • Maintain compliance through monitoring pending laws, 政策变化, and regulatory examination and enforcement behavior to stay ahead of the curve. 


Regulatory Strategy: Our team offers consultative problem-solving and core compliance support to help your business anticipate and adapt to regulation changes. 


技术 & 分析: Leveraging advanced data management capabilities to build quantitative models, automate risk management 过程es, and create the underlying data environment to support technology-driven strategies.  


Regulatory Reporting: Our team assists in designing and 实现ing regulatory reporting programs across key global markets, including the US, 加拿大, 欧盟, 和亚太地区. We have deep expertise in addressing the needs of key financial regulators, including OCC/FED, 联邦存款保险公司, CFPB, 秒/美国金融业监管局, 商品期货交易委员会, 哈马德•本•哈利法•阿勒萨尼, 马斯, 香港金管局, 和FCA.  



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. 


反应- - - - - -  

  • 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 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. 



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. 


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. 

Contact An Expert

克里斯托弗年代. Rigg | Principal | Chicago

长大卫奥诺拉托 | Principal | Atlanta

Christopher Carrigan | Principal | Washington, D.C. 

保罗Mokdessi | Principal | Tampa

约翰·凯勒 | Principal | Chicago

埃德加安科纳 | Advisory Board | Chicago

彼得·莱维特 | Advisory Board | Toronto

安德鲁Branion | Principal | Toronto