Compliance Transformation

Protiviti shifts compliance functions from retrospective hindsight to foresight

Compliance leaders are shifting their 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. They also 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.

Protiviti’s Compliance Transformation experts leverage the latest technologies and methodologies to innovate and transform your 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 you innovate, transform and succeed.

Analyzing 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

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.

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Transformation Strategy, Planning & Execution

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.

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Strategic Change Management

We enable successful transformation processes to incorporate both operational and regulatory compliance change management requirements. We enable the business to successfully implement processes and controls.

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Strategic Regulatory Remediation

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, technology and data 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 programs more effective and efficient.


Brian is a Managing Director with Protiviti and is part of the Regulatory Risk team with more than 16 years of experience in consulting financial services organizations. Brian focuses on solving clients' challenges in designing and implementing third party risk, ...
Mark Highton serves as Protiviti’s global Financial Crime Compliance leader with 20 years of industry experience and 10 years of consulting experience. Mark is responsible for the development of innovative solutions, pursuit and delivery of large-scale engagements, and ...