Risk Management & Compliance Advisory Services

Past corporate failures have been linked to lack of accountability, strategy and transparency. Risk management should be embedded within the philosophy of the organization so that everyone is focused on managing and optimizing risk. How robust is your enterprise risk management program? How adequately and accurately are you positioned to manage financial risks relating to your capital, credit portfolio, investment funds and assets or your debt profile? How do you manage and monitor risks relating to your connected parties? Are your systems and policies sufficiently robust to ward off the risk of operational loss, fraud, litigation or reputational damage?

Our professionals provide the experience to help companies stay on track and deal with risks that could threaten their going concern. Services offered include:

·         Risk Management Frameworks Design and Execution / Risk Assessment Workshops

·         Risk Management in Financial Institutions

·         Design, Review and Implementation of Internal Control & Audit Systems

·         Global Compliance Advisory Services (in line with US, UK, EU Regulations)

·         Treasury and Foreign Operations Risk Management

·         Market and Liquidity Risk Management Advisory Services

·         Operational Risk Measurement and Management Advisory Services

·         Commodity and Energy Risk Management Advisory Services

·         AML / Compliance & Enterprise Risk Software Selection Advisory & Implementation

·         Design and Review of Finance Functions / Accounting Systems /   Accounting Software Selection

·         Loan Staff / Outsourced Services for Risk Management / Compliance Departments

·         Information Risk Management

·         Contract Compliance Services

Examples of risk & compliance advisory projects our team members have been involved include:

•  Defined the technology strategy, created the fixed-income and equities strategy, and implemented a robust program to achieve best-in-class risk management at a leading investment bank.

•  Delivered exceptional service to Fortune 500 companies from the “essentials” (e.g., financial controls, AML compliance, SOX, internal audit, enterprise risk management), the “value add” (e.g., IT due diligence, controls optimization, ERP optimization), and the latest “emerging technologies” (e.g., leveraging data analytics, cloud computing, managing business-level risks).

•   Coordinated the design of a risk management transformation program for a large financial technology company. This program involves building stress-testing scenarios, designing risk management dashboards and reports, and improving risk management policies across various products.

•   Partnered with a diversified conglomerate to establish a risk & compliance program for risk monitoring & mitigation.

•   Assisted several financial technology firms and financing arms of large multinational firms in setting up their enterprise risk management frameworks, processes, and regulatory infrastructure.

•    Supported FinTech startups in designing their Credit Risk Management Framework

•   Supported the design of AML/CFT Frameworks for Large and Mid Sized Corporations, E-Commerce Firms and Payment Infrastructure Companies.

•  Reviewed and completely overhauled the Counterparty & Investment Risk Management Policies for an Investment Management Firm.

•    Design of Chart of Accounts, Accounting Policies & Internal Control Policy Manuals

•    Redesigned the Risk Management and Internal Audit functions of an Infrastructure Finance Institution

•   Conducted Annual Macroeconomic Stress Tests and Country Level Risk Assessments for a Multilateral Institution

For specific information on how we can assist you, please contact us.