Strengthening your firm's risk management and compliance capabilities through comprehensive, tailored solutions that enhance oversight, support organizational resilience, and meet evolving regulatory expectations
Regulatory Framework Development
Development and enhancement of risk and compliance frameworks that align with regulatory requirements and strengthen organizational oversight.
Compliance Program Assessment
Independent assessments of compliance structures, controls, and governance practices to identify gaps and elevate program effectiveness.
Risk Assessment & Control Testing
Comprehensive risk assessments and targeted control testing to evaluate operational, regulatory, and conduct risks across the business.
Monitoring, Surveillance & Reporting Review
Evaluation and enhancement of monitoring, surveillance, and reporting functions to support accurate risk identification and regulatory adherence.
Margin, Capital & Financial Compliance Support
Advisory support covering margin methodologies, capital calculations, and financial compliance requirements to ensure accuracy and regulatory alignment.
Trade & Transaction Reporting Assistance
Support with trade and transaction reporting obligations—such as CFTC Part 43 and Part 45—ensuring submissions are timely, complete, and compliant.
Swap Dealer Risk Management Program
Review, enhancement, and ongoing advisory support for Risk Management Programs, including governance, risk identification, risk monitoring, and control effectiveness.
Regulatory Exam & Audit Preparation
Comprehensive preparation for regulatory exams and audits, including documentation readiness, mock reviews, and remediation planning.
