Regulatory Compliance Respond and 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. Whitepaper December 1, 2025 16 min read Compliance Priorities for 2026: The Most Unpredictable Year Yet With nearly seven decades of combined experience in financial services compliance, we have witnessed both aggressive and accommodative regulatory cycles—and the transitions between them. Regardless of the cycle, regulators have traditionally focused on certain priorities with relative consistency. Read more Our Regulatory Compliance consulting services Pro Building office 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. Pro Briefcase 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. Pro Screen System Integration Consumer Protection We address your consumer compliance needs through compliance programme management, regulatory reviews, consent and remediation, and operations support. Pro Rightmark Square 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. Pro Document Consent 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. Pro Document Stack Consumer Duty The Consumer Duty is the next evolution of the Financial Conduct Authority’s (FCA) Conduct Risk agenda which sets a higher standard of consumer protection in retail financial markets. It introduces a new Principle for Business, which states that firms should act to deliver good outcomes for retail customers. Pro Legal Briefcase Skilled Person Reviews The Protiviti team has extensive experience of supporting clients to prepare, manage and complete successful Skilled Person Reviews. This experience covers many sectors and different regulatory topics with firms of varying size and complexity. Pro Document Files Client Assets (CASS) and Safeguarding Protiviti provides Client Assets and Safeguarding advice and guidance through review of clients’ governance, systems and controls, reporting arrangements, assessments of their compliance with relevant regulations, guidelines and understanding of best practice, and provision. Pro Document Folder Anti-money laundering (AML) compliance Protiviti provides a wide variety of consultative services and AML solutions designed to assist organisations in all aspects of AML/Combating the Financing of Terrorism (CFT) compliance, in addition to conducting transaction monitoring, and Know Your Customer (KYC) reviews. 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 riskFoster 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 managementDevelop effective compliance management systems and solutions grounded in data analytics and built on efficient and agile technology platformsEstablish, evaluate, monitor, and test for fair and responsible financial servicesEffectively manage or prepare for regulatory inquiries and exams or related matters requiring attention, and to respond successfully to enforcement actions and consent orders when neededDetermine how to best leverage resources that promote success and enable innovation Perspectives on Global Sanctions Landscape Learn more Leadership Bernadine Reese Bernadine is a Managing Director within our Financial Services Industry (FSI) Regulatory practice in the U.K. Prior to joining Protiviti 17 years ago, Bernadine was a Director in KPMG’s Regulatory Services practice. A chartered accountant by training, Bernadine has over ... Learn more Featured insights WHITEPAPER Navigating the Transition to T+1 Settlement in Europe and the UK 2 min read This paper builds on Protiviti’s ongoing dialogue with market participants, insights from recent industry publications, and themes discussed during Protivitiʼs T+1 Settlement webinar in March with Andrew Douglas, Chairman of the UK T+1 Taskforce, and... PODCAST Risky Women Podcast | Compliance Priorities for 2026 2 min read Dive into top compliance priorities for 2026 — the most unpredictable year yet — with our latest episode, where we explore the evolving landscape of regulatory priorities. Join Kimberley Cole and industry experts Bernadine Reese and Carol Beaumier... SURVEY Top Risks 2026: Executive Perspectives & Growth Opportunities 8 min read Protiviti Top Risks Report 2026 shares executive insights on Gen AI, agentic AI, cyber threats and economic risks. WHITEPAPER Compliance Priorities for 2026: The Most Unpredictable Year Yet 16 min read With nearly seven decades of combined experience in financial services compliance, we have witnessed both aggressive and accommodative regulatory cycles—and the transitions between them. Regardless of the cycle, regulators have traditionally focused... PODCAST Risky Women Podcast | Beyond Compliance With Laura Ferrara 2 min read Meet Laura Ferrara, Amplifon’s global chief internal audit and risk management officer — part risk detective, part people connector and full time hearing care champion. With a career that moved from PwC to telecoms, energy and rail before landing in... INSIGHTS PAPER Finance to the Defense and Aerospace Industry: The Sanctions Risk Assessment Model as a Strategic Lever for Risk Management 1 min read Leverage the sanctions risk assessment model to strengthen strategic risk management in the defense and aerospace industry amid evolving regulatory demands. WHITEPAPER Where fraud meets compliance: Building a stronger line of defense 19 min read Efforts by the financial services industry to merge the management of fraud and compliance risk — particularly, but not exclusively, anti-money laundering (AML) risk — have been evolving over the last quarter century. There are examples, frequently... Previous Article Pagination Next Article 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. Read more Protiviti Supports BTG Pactual’s Expansion into the U.S. Market Protiviti is proud to have partnered with BTG Pactual, the largest investment bank in Latin America, as the firm pursued a key milestone in expanding their presence in the United States through the acquisition of a New York federal savings bank, its conversion to a national bank, and the establishment of a U.S. bank holding company. Read more
