Risk and Compliance


Heightened standards and significant investments have increased the size and scope of responsibilities for risk and compliance functions. Expansion often is a fertile ground for inefficiencies to risk and there is ample room for effectiveness across all three lines of defense while stabilizing or lowering costs. Often overlooked as success factors, risk management and regulatory compliance are intended to drive growth and act as enablers of business strategy. When implemented correctly, they not only create greater confidence, but also greater speed to value.  


Protiviti’s Risk and Compliance consultants partner with management, board members and outside counsel to help organizations comply with regulatory requirements, respond to situations of noncompliance, and improve the processes around information systems supporting governance, risk and compliance (GRC). Protiviti helps clients take a disciplined approach to managing credit, market and operational risks through a combination of assessments, process improvement, and model review and validation.

Our areas of expertise include:

AML Compliance

Given the increasing regulatory scrutiny related to AML issues and complex challenges faced by financial services organizations in that regard, institutions are realizing 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 organizational goals and fits the current regulatory climate.

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

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

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 organization. Protiviti will work to design, implement and maintain effective capabilities that manage your most critical risks and address cultural and other organizational issues that can compromise those capabilities.

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

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

Today's organizations 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 maximize investments.