Regulatory Compliance

Regulatory Compliance consulting services help you manage today’s risks to build future success.

Disruptive technologies, regulatory pressures, evolving customer loyalty, and pressure to enhance economic returns are just some of the challenges organisations need to overcome by innovating and managing their compliance risks to succeed over the next decade.

The dynamic regulatory landscape and increased emphasis on cost reduction only add to the complexity of organisations achieving profitable growth.

Protiviti’s regulatory compliance team brings a blend of experience and fresh thinking through a unique mix of consulting talent combined with former industry professionals, including risk and technology executives, commercial and consumer lenders, compliance professionals, and financial regulators.

Compliance Risk Management

Optimise and automate procedures using data and analytics for forward-looking, predictive controls, applying regulatory compliance expertise for more efficient responses to enforcement actions or issues to allow your business to focus on growth and innovation.

Consumer Protection

We combine world-class consumer compliance expertise, hands on experience as former chief compliance officers and regulators, and proven methodologies to address your consumer compliance needs through compliance program management, regulatory reviews, consent and remediation support, and operations support.

Financial Crime Compliance

Protiviti offers a multi-dimensional set of solutions to help you fight financial crime while staying in sync with regulatory changes. We collaborate to promote knowledge and skill transfers so your teams can leverage our delivery model, where impactful solutions can lead to lean and efficient operations.

Regulatory Remediation

Aggregate and improve the quality of existing tools, technologies, and capabilities to effectively address regulatory actions. Our team responds to regulatory requests in an agile and efficient way, enabling you to drive business growth and innovation.

Compliance Transformation

Design 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.

Manage the risks of today while positioning you to meet the challenges of tomorrow

Our approach

We help companies optimise resources and design compliance risk management programs that are efficient, innovative, and tech-enabled so regulatory risk is covered across your organisation.

In a dynamic market, you need a regulatory compliance consulting partner that can manage the risks of today while positioning you to meet the challenges of tomorrow.

We help you:

Identify, align, and integrate key risk and performance indicators to business objectives and processes so that you can effectively manage risk
Foster a culture of regulatory compliance so that you can factor in risk throughout your business—from product development, marketing, and sales, to underwriting, pricing, and servicing, as well as third-party risk, complaint, and issues management
Develop effective compliance management systems and solutions grounded in data analytics and built on efficient and agile technology platforms
Establish, evaluate, monitor, and test for fair and responsible financial services
Effectively manage or prepare for regulatory inquiries and exams or related matters requiring attention, and to respond successfully to enforcement actions and consent orders when needed
Determine how to best leverage resources that promote success and enable innovation

Manage the risks of today while positioning you to meet the challenges of tomorrow

WHITEPAPER

Navigating sanctions compliance through the transition to ISO 20022

The International Organisation for Standardisation’s (ISO) new global messaging standard, ISO 20022, is set to be adopted by payment processing organisations globally by 2025.

What Role Should Compliance Play in ESG?

By Bernadine Reese and Jackie SanzRegulators and many other stakeholders are intently focused on how financial institutions address environmental, social and governance (ESG) matters. Within financial institutions, boards of directors, executive...

U.S. Banking Regulators Finalise (Finally) Revised Third-Party Risk Management Guidance

On Tuesday, June 6, 2023, the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the agencies) issued the “Interagency Guidance on Third...

Reshaping Loan Servicing Compliance

Servicers in lending organisations are challenged with navigating economic headwinds that are pushing delinquency- and default-rate projections higher. This task has been complicated by increased global regulatory focus and dynamic customer...

WHITEPAPER

Regulations and Demand for Accountability Set the Tone for the Future of ESG Disclosures

In recent years, increasing pressures from a variety of stakeholders have combined to drive companies toward more sustainable practices in their business operations and greater transparency. The real game-changer, however, has been the proliferation...

COSO Issues Supplemental Guidance on Internal Control Over Sustainability Reporting

The Committee of Sponsoring Organisations of the Treadway Commission (COSO) has released supplemental guidance on how to effectively apply the 2013 Internal Control — Integrated Framework (ICIF) — which is currently applied to financial reporting —...

A Call for Transparency Amid a Shifting Legal and Regulatory Landscape

The increasing complexity of the legal and regulatory landscape is challenging the board’s fiduciary duties. Emerging trends ushering in a call for fairness and transparency should be of paramount importance to directors. Boardroom agendas cover an...

Quantum computing helps financial services organisation improve portfolio optimisation

A joint team of quantum computing engineers and financial analysts at this industry leader in digital financial services, led by a forward-thinking CIO, knew they wanted to take advantage of quantum computing to solve unique challenges that could not be handled with classical computing alone.

Matthew Moore

Matt is a managing director and global leader of Protiviti’s Risk & Compliance practice. He has extensive experience advising clients in matters related to risk management, regulatory compliance, corporate governance and internal controls. Matt helps his ...

Learn More

Bernadine Reese

Bernadine is a Managing Director within our Financial Services Industry (FSI) Regulatory practice in the UK. Prior to joining Protiviti ten years ago, Bernadine was a Director in KPMG’s Regulatory Services practice. A chartered accountant by training, Bernadine has over ...

Learn More

Search in Protiviti.com

Regulatory Compliance consulting services help you manage today’s risks to build future success.