Regulatory Compliance

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

Regulatory Compliance

Disruptive technologies, regulatory pressures, evolving customer loyalty, and pressure to enhance economic returns are just some of the challenges organizations 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 organizations 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.
 

Regulatory Compliance

Our Regulatory Compliance Consulting Services


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

Our Approach


We help companies optimize 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

Leadership

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 ...
Shelley Metz-Galloway
Shelley Metz-Galloway is a Managing Director in Protiviti’s Metro D.C. Office. She has more than 25 years in the financial services industry. Shelley offers expertise in consumer regulatory compliance, enforcement action response and remediation, compliance, fair ...

WHITEPAPER

Resilience Practices Can Help Firms Mitigate Supply Chain and Third-Party Provider Risks - Top of Mind Compliance Issues for 2021

Resilience Practices Can Help Firms Mitigate Supply Chain and Third-Party Provider Risks - Top of Mind Compliance Issues for 2021

Customers are major drivers of change in the marketplace. In times of stress, how well companies manage customer experience and expectation can determine whether they succeed. At the height of the COVID-19 pandemic, amid demand spikes and panic...
Read More

FLASH REPORT

Customer Service and Complaints

Customer Service and Complaints: How Firms Can Build Long-Term Resilience and New Capabilities

Regulatory agencies around the world have intensified their focus on financial institutions’ customer service activities amid a dramatic COVID-19- related surge in complaints. These stepped-up regulatory efforts come during a period when many...
Read More

WHITEPAPER

Top-of-Mind Compliance Issues for 2021

Top-of-Mind Compliance Issues for 2021

No 2020 “year in review” for us. We’re glad 2020 is over. We’re looking ahead to the issues that will likely shape the compliance agenda for financial services companies in 2021. While we admit, as you will note in the commentary below, that we can’t...
Read More

WHITEPAPER

CFPB Ready for Heightened Enforcement - Top of Mind Compliance Issues for 2021

CFPB Ready for Heightened Enforcement - Top of Mind Compliance Issues for 2021

The new U.S. administration in Washington is likely to increase its scrutiny of consumer financial products and services. Nowhere is this more evident than at the Consumer Financial Protection Bureau (CFPB), which is uniquely positioned to provide...
Read More
Loading...