Financial Services Risk and Compliance

In the last decade since the financial crisis of 2008, financial services firms have been addressing regulatory overhauls in  banking, investment management, and brokerage.  Many financial services firms are now focused on:

  • Expansion into non-bank businesses such as brokerage, investment management and insurance
  • Improving processes to gain efficiencies while still maintaining compliance
  • Utilizing technology such as blockchain and artificial intelligence to provide a competitive advantage

Our consultants have worked with financial services companies including banks, asset managers and broker-dealer  in operations, internal audit, compliance, and technology for the last 25+ years. Utilizing our broad industry experience and our active network of consultants, we are able to quickly provide a tailored approach to address your needs. See below for sample engagements.

Asset Management Internal Audit and Operational Risk

Broker-Dealer Compliance and Regulatory

Banking Internal Audit and Operational Risk

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