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 financial services 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 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.

Regulatory Remediation

Aggregate and improve the quality of existing tools, technologies, and capabilities for look-back reviews and customer remediation. Our team responds to regulatory requests in an agile and efficient way, enabling you to drive business growth and innovation.

Consumer Protection

Address your consumer compliance needs through compliance programme management, regulatory reviews, consent and remediation, and operations support. We ensure you are compliant with Hong Kong Monetary Authority (HKMA) regulations as well.

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.

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.

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 programmes 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

Leadership

Jenny Wong

Jenny is a managing director with over 12 years’ experience specialising in financial services, finance transformation, and change management. She is a key member of the global enterprise solutions team working on client engagements for Protiviti and Robert Half.&nbsp ...

Learn More

Adam Johnston

Adam is the country market lead for Hong Kong. With over 15 years’ experience, he has spent much of his career consulting to Fortune 500 organisations, helping them solve complex transformation, and resourcing programmes and projects. Adam’s specialisation is ...