Banking and Capital Markets

Technology is rapidly evolving and digital adoption accelerating. Regulatory obligations are increasing in scope, rigor and complexity. Global events continue to challenge the financial industry, exacerbating existing and exposing new risks. Banking and capital markets firms are facing demanding customer expectations to deliver seamless and uninterrupted services juxtaposed with rising cost pressures and regulatory scrutiny.

Protiviti helps financial institutions to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well-controlled, and enabled by leading technologies.

Our firm is widely recognized for delivering practical solutions to financial organizations that embody the five characteristics needed to succeed in the face of disruption: human, flexible, intelligent, innovative, modular. We have assembled integrated teams of industry and process advisors with the skill to help executives develop innovative solutions to confidently face emerging challenges and identify opportunities for structural transformation to enable sustained future growth.

Together with Robert Half, the world's first and largest specialized talent solutions firm, Protiviti offers the unrivaled combination of consulting expertise with Robert Half’s deep pool of highly skilled and experienced professionals to solve your business challenges using our unique, flexible delivery models.

Our Banking & Capital Markets consulting advisors provide solutions tailored to your organization’s unique needs in the following areas:

Internal Audit

Through our world-class Internal Audit and Sarbanes-Oxley practices, we ensure your IA activity provides the highest value to your organization, whether you need to employ agile principles and AI to transform your IA function or co-source or fully outsource your Internal Audit and Controls functions.

Regulatory Compliance

Our subject matter advisors use their understanding of global and domestic regulatory landscapes to help you optimize resources and design compliance risk management programs that are efficient, innovative, and, tech-enabled increasing the effectiveness and decreasing the cost of compliance.

Risk Management

Proactive leaders know they must adopt more innovative risk management practices to succeed. We help you leverage emerging technologies, harness data and maintain a strong control environment so you stay on the leading edge of risk management while improving your bottom line.

Managed Solutions

We provide a unique and flexible delivery model for consulting, implementation and operations services to help you address short-term skill gaps, deliver project results, and transform your organization by creating the right team that can scale up or down quickly and cost effectively to fit your needs.

Digital Transformation

Evolving needs and customer expectations challenge even the most agile organizations. We help you think differently to redefine customer experience, explore new operating models, create enhanced digital channels, and build skills that instill a culture of innovation and agility.

Cybersecurity

Cybersecurity is a top priority for boards and ERM functions seeking proper visibility and understanding of their cyber threat landscape. We help firms protect data by assessing, developing, implementing and managing end-to-end agile solutions to help you safely grow your business.

Technology

Whether you are looking to automate, modernize, or embark on an end-to-end transformation journey, our technology consulting solutions can help. Our services range from strategy, design, and development through implementation, risk management, and managed services.

Sustainability

Environmental, Social and Governance (ESG) presents asset and wealth management firms with both risk and opportunity. We partner with firms to evaluate ESG strategy, identify and monitor objectives, manage risk, support sustainable finance programs, and meet compliance requirements.

FSI Top Risks for Executives 2023 & 2032

Protiviti has provided specific insights for the financial service industry from the Executive Perspectives on Top Risks Report which focused on the top risks for the short term — 2023— and the long term — 2032 — from 1,304 respondents in C-suite and board positions in organizations around the globe.

Florida bank optimize customer relationship value through innovative data approach and AI

Florida-Based Bank Optimises Customer Relationship Value Through Innovative Data Approach

This Florida-based organization has grown from a small community back to one of the state’s largest financial institutions. Over time, the bank built its reputation by maintaining the personalized service of a community bank while investing in the talent, technology and financial products customers expect from a large bank – from facilitating inbound investments and empowering small businesses to...

Quantum computing helps financial services organization improve portfolio optimization

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.

Reshaping Loan Servicing Compliance

Servicers in lending organizations 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

What Do the Silicon Valley Bank and Signature Bank Failures Mean for Bank Supervision?

On April 28, four reports were issued on the failures of Silicon Valley Bank and Signature Bank. These reports signal the next stage of what is likely to be a lengthy examination of the issues surrounding these failures and the actions that should be...

Compliance Insights | Collaboration: The key to better management of cybercrime and financial crime

Sharing information and lessons learned has become increasingly critical for the effective management of cybercrime and related financial crime. This need requires financial institutions to rethink how they have historically managed these risks. ...

Managing credit risk in a differentiated downturn

In this issue of the Credit Pulse, we look at credit risk considering the macroeconomic and geopolitical trends likely to shape the financial services industry over the next six months. First, we focus on critical considerations for loan servicers in...

Preparing financial institutions for an unfamiliar economic downturn

We are in unusual economic times. While making predictions may be a fool’s errand, the aggressive posturing among central banks to fight runaway inflation implies that we will soon be — if not already are — in the late stage of the economic cycle....

WHITEPAPER

Human v. machine: Tackling artificial intelligence risks in financial institutions

In the novel Tell the Machine Goodnight, Katie Williams tells the story of Pearl, a technician for Apricity Corporation, which has developed a machine that “uses a sophisticated metric, taking into account factors of which we are not consciously...

Michael Brauneis

Mike is a Managing Director with Protiviti and serves as the leader of the firm's Global Financial Services industry practice. He has more than 20 years of experience focused on regulatory risk and compliance matters. Prior to joining Protiviti in January of 2004, ...

Learn More

Douglas Wilbert

Douglas is a Managing Director in the Risk and Compliance division of Protiviti’s New York office. Douglas has over twenty years experience in financial services / capital markets and has worked on large scale consulting projects that range from financial close ...

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John McDermott

John McDermott is responsible for enhancing and expanding Protiviti’s global risk, compliance, governance, and audit practices within the financial services industry. He provides subject matter expertise from years of personal experience as a Chief Risk Officer, General ...

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Search in Protiviti.com

Banking & Capital Markets

Our Services

Internal Audit

Regulatory Compliance

Risk Management

Managed Solutions

Digital Transformation

Cybersecurity

Technology

Sustainability

FSI Top Risks for Executives 2023 & 2032

Florida-Based Bank Optimises Customer Relationship Value Through Innovative Data Approach

Quantum computing helps financial services organization improve portfolio optimization

WHITEPAPER

Reshaping Loan Servicing Compliance

WHITEPAPER

What Do the Silicon Valley Bank and Signature Bank Failures Mean for Bank Supervision?

NEWSLETTER

Compliance Insights | Collaboration: The key to better management of cybercrime and financial crime

WHITEPAPER

Managing credit risk in a differentiated downturn

WHITEPAPER

Preparing financial institutions for an unfamiliar economic downturn

WHITEPAPER

Human v. machine: Tackling artificial intelligence risks in financial institutions

Leadership

Michael Brauneis

Mike is a Managing Director with Protiviti and serves as the leader of the firm's Global Financial Services industry practice. He has more than 20 years of experience focused on regulatory risk and compliance matters. Prior to joining Protiviti in January of 2004, ...

Douglas Wilbert

Douglas is a Managing Director in the Risk and Compliance division of Protiviti’s New York office. Douglas has over twenty years experience in financial services / capital markets and has worked on large scale consulting projects that range from financial close ...

John McDermott

John McDermott is responsible for enhancing and expanding Protiviti’s global risk, compliance, governance, and audit practices within the financial services industry. He provides subject matter expertise from years of personal experience as a Chief Risk Officer, General ...