Findings must close with evidence
Regulators, monitors and boards expect proof that controls operate. Policies and action plans are not enough; findings close when the institution can show the control has been rebuilt, tested and embedded.
Risk & Compliance
Strengthen risk management and turn regulatory requirements into effective business change.
Our experience and impact
Selected delivery experience.
100%
Enforceable-undertaking obligations closed
Independently reviewed.
~65%
False-positive alerts reduced
AI tuning across ETD and OTC surveillance.
100%
AML findings closed
Evidenced to the independent monitor.
Overview
Risk expertise connected to the business.
Our role is to help clients understand the business implications of change and build the processes, data, technology and governance required to respond.
We support risk transformation, regulatory change and remediation, working alongside the functions responsible for policy, legal interpretation, assurance and business operations.
What is changing
The pressures on the control environment now.
Resilience and third-party risk are now examined
Critical services, technology dependencies, cyber controls and supplier concentration are under closer scrutiny. Institutions need to know what matters most, what it depends on and whether it can recover within tolerance.
Risk data must support decisions
Risk, compliance and regulatory reporting depend on data that is complete, traceable and reliable. Weak data creates late reporting, poor monitoring and controls no one can evidence.
How we can help
Connect risk requirements with effective controls.
Specialist support across risk management, regulatory implementation, monitoring and operational controls.
Regulatory horizon
Delivered through every cycle, across six regimes.
Client results
Selected risk and compliance experience.
The context, our work and the outcomes achieved.
Capital Markets · Surveillance
Trade surveillance rebuilt across ETD and OTC flow for a global investment bank
A Leading Global Investment Bank · Trade Surveillance
We helped take market-abuse surveillance from risk assessment and vendor selection through to live platforms across exchange-traded and OTC flow, aligned to market-abuse and market-integrity obligations, with tuning to reduce false positives.
- ~65%
- Fewer false-positive alerts after model tuning
- 2
- Regimes aligned: MAR and ASIC market integrity rules
- ETD + OTC
- Flow brought under surveillance, on every venue and channel
Read the case study
Our Risk & Compliance insights
Perspectives on the decisions ahead.
Get in touch
Speak with a Partner about Risk & Compliance.
Talk to us about the decision, opportunity or change your organisation is working through.