Compliance Transformation

Protiviti shifts compliance functions from retrospective hindsight to foresight

Protiviti’s Compliance Transformation experts leverage the latest technologies and methodologies to innovate, which helps organizations transform their compliance functions by focusing on business value. Our consultants bring a deep understanding of the industries in which they operate, awareness of leading practices, expertise in new and emerging technologies, and imagination to help clients innovate, transform and succeed.

Compliance leaders are shifting their strategic focus from remediation to growth and innovation. Analyzing risks related to the execution of strategies is a key foundation, but it’s no longer sufficient to anticipate and manage change. Compliance officers must be able to support new product launches, M&A activity, and partnerships at an increasing pace. Compliance organizations need to demonstrate an efficient use of resources and the ability to leverage data and capitalize on digital advancements. The future strategy must expand so that compliance is a business partner to the first line with specialist skills that support business growth.

Analysing risks related to the execution of strategies is a key foundation, but it’s no longer sufficient to anticipate and manage change

Our Compliance Transformation services

Pro Document Files

Target Operating Model Design and Implementation

We help you re-envision how you bring together people, data and processes by leveraging technology strategies that create value for your customers and propel your competitive advantage. An operating model must define and determine how an organization will function to accomplish its business objectives.

Pro Document Consent

Transformation Strategy, Planning & Execution

We will develop an agile transformation road map leveraging the strategy defined with prioritized milestones, accountability metrics, performance criteria and budget monitoring/reporting processes. We will use this road map throughout the duration of your transformation journey to help clients define and implement their projects effectively and efficiently.

Pro Building office

Intelligent Regulatory Alignment

We leverage new technology to transform the way companies manage the regulatory change management process needed to adequately comply with laws, rules, and regulations and to assess changes to manage the downstream impact on business operations. Organizations are required to identify the laws, rules, and regulations that impact their various business functions to maintain compliance. The rapid pace of change and manual processes result in uncertainty and failure to comply.

Pro Rightmark Square

Strategic Regulatory Remediation

We help manage regulatory remediation efforts. Organizations need to ensure that activity is managed consistently through an overarching vision upheld throughout the duration of remediation activities while maintaining a culture of continuous improvement. As the average time to remediate enforcement actions is over six years, the strength of the vision and continued dedication to sustainable progress is essential.


Our approach

Protiviti’s approach begins with designing a target operating model that brings together a vision for people, processes, and technology to enable your business strategy. We help you build the capacity to transform by establishing a culture that drives shared responsibility and innovation.

As regulatory pressure intensifies, competition increases and costs are increased, banks need to make their compliance programmes more effective and efficient.

Featured insights


Mark Burgess
Mark is a managing director and Protiviti’s risk and compliance solution lead. With over 17 years of risk and regulatory compliance experience in the financial services industry, he has a proven track record delivering deep insights for his clients. Mark has spent a ...
Matt is a managing director in Protiviti Australia’s risk and compliance team and is responsible for leading the delivery of best practice solutions across Protiviti’s key clients. Matt is the national financial services industry lead, also leading the Protiviti ...