Risk and Compliance


Protiviti Governance, Risk and Compliance practice is aligned with the needs of financial services, energy and commodities trading and real estate sectors. Our team comprises individuals with specialist knowledge in industry, senior risk and compliance professionals with significant experience both working at regulatory roles and with UK regulators.

Our clients are often large well recognised and complex organisations that operate, often on a global basis, in the capital and wholesale markets, in retail, private and commercial banking, in wealth and investment management insurance industry as well as in exchanges and clearing houses. As well as providing our services direct to clients, our people are often used as subject matter experts in co-sourced and outsourced internal audit and in supporting large change management projects and programmes.

We are active in regulatory debate and discussion, including regular well attended regulatory breakfast series at which FCA senior management regularly speak.

Our services include tailored:

  • Risk Function Design and Support
  • Governance Reviews including: Board effectiveness reviews and design and effectiveness of high level systems and controls
  • Compliance Function Design and Support
  • Regulatory Projects; project and programme management and impact assessment and gap analysis
  • Supervisory visits and Thematic
  • Financial Crime Thematic including AML, Sanctions, Anti-money laundering
  • Bribery & Corruption, transaction monitoring
  • FCA initiated inc S166 (skilled persons reviews) and "Arrow" preparation/management
  • Topical areas including CASS, EMIR, Living Wills, MiFID 2
  • Retail Banking/Insurance Conduct Risk
  • Risk Frameworks/Operational Risk
  • Best Practice/Agile Compliance Functions
  • R&C Capability Statement 2016


READ: Risk & Compliance Capability Statement

New Blog post by Protiviti and Rainbird:

The Virtual Compliance Officer

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Protiviti Solutions Overview

Our areas of expertise include:

Anti-money Laundering compliance

AML Compliance

Given the increasing regulatory scrutiny related to AML issues and complex challenges faced by financial services organisations in that regard, institutions are realising the importance of implementing and maintaining a robust AML program. Our core team of AML professionals will work with you to articulate a program that meets organisational goals and fits the current regulatory climate.

Capital Management

Capital Management

Increased regulatory expectations impact banks from across a variety of asset sizes and create complexities with an underlying common theme that our subject matter experts effectively address: the balancing of risk and rewards through enterprise-wide risk and capital management.

credit risk

Credit Risk

Even in non-crisis periods, credit losses cost organisations tens of billions of dollars annually. These costs can intensify with sub-optimal and ineffective methodologies, processes, and technology. Protiviti’s credit risk consultants help many of the world’s leading organisations reduce costs and improve returns while matching credit risk strategies to our clients’ risk appetites.

Enterprise Risk Management

Enterprise Risk Management

A comprehensive view of an institution’s risks is no longer a luxury, but a requirement in order to discourage individuals from discounting risks that are significant to the Organisation. Protiviti will work to design, implement and maintain effective capabilities that manage your most critical risks and address cultural and other organisational issues that can compromise those capabilities.

market and commodity risk

Market & Commodity Risk

Understanding your risk profile and true exposure from a profitability, operational and cash flow perspective, is at the core of our dedicated market and commodity risk team. Our professionals have experience trading, hedging, and controlling risk in order to solve the problems facing management in the fast-paced environment we live in today.

Operational Risk Management

Operational Risk Management

In order to be ready to face the 21st century challenges, firms need to make sure that there is sound management of process, people and systems. Our professionals help you enhance regulatory standing, rating agency grades and shareholder confidence.

Regulatory Compliance and Remediation

Regulatory Compliance

Today's organisations face unprecedented challenges in managing risk and adhering to complex regulations. The cost of noncompliance can be the loss of an entire enterprise. Our professionals help you develop, implement and uphold an effective regulatory compliance program in order to maintain your reputation and maximise investments.