Risk Management & Compliance

Examination preparation and assistance

  • Assist clients in preparing for and responding to examinations by U.S. banking regulators and the CFPB, CFTC, FINRA, NFA, and SEC

Corporate governance advice

  • Review governance systems and advise regarding stakeholder relations, management duties and responsibilities, and committee structures and charters

Trading systems, swap data reporting, and capital adequacy assessments

  • Assess the design and implementation of trading systems, swap dating reporting systems, information security programs, and other technology systems to determine whether they meet regulatory requirements
  • Perform reviews of capital frameworks and regulatory capital modeling approaches

Compliance program reviews and enhancements

  • Assess compliance programs at banks, broker-dealers, consumer lenders, digital asset trading platforms, fintechs, futures commission merchants, mortgage servicers, swap dealers, and other financial firms to identify control weaknesses or gaps
  • Develop policies, procedures, and internal controls for financial firms

Compliance and ethics training

  • Develop training programs to promote adherence to laws, rules, and best practices

Representative Engagements

  • Conducted reviews for compliance with CFTC swap data recordkeeping and reporting regulations and capital requirements for swap dealers
  • Reviewed the compliance programs of banks and broker-dealers and assisted them in onboarding surveillance and monitoring vendor solutions
  • Analyzed risks and controls related to business processes at a major consumer lender to ensure compliance with CFPB regulations and identified deficiencies
  • Developed processes at a large banking group to stand up a Customer Identification Program and “Know Your Customer” programs to comply with FinCEN requirements
  • Consulted with public companies, clearinghouses, and exchanges regarding corporate governance
  • Developed anti-money laundering (AML) policies and procedures designed to comply with the Bank Secrecy Act and related regulations
  • Conducted an efficiency review across jurisdictions for a large broker-dealer’s compliance, risk, and control functions
  • Advised a large U.S. fintech company on compliance considerations regarding new product offerings and business expansions in Hong Kong and Singapore
  • Developed policies and procedures, trained staff, conducted internal reviews, and managed annual employee certification on Foreign Corrupt Practices Act (FCPA) requirements
  • Reviewed, analyzed, and assessed financial, regulatory, and other risk management controls and supervisory procedures designed to ensure compliance with the SEC’s “market access rule”
  • Examined and recommended enhancements to proprietary alternative trading systems
  • Assisted with compliance reviews, annual compliance and risk assessments, and Form ADV filings for SEC-registered investment advisors of foreign investment managers
  • Conducted an assessment of a large bank’s global surveillance reports and parameters used by the front office and compliance related to market manipulation
  • Advised a corporate issuer on responding to globally coordinated enforcement actions related to the manipulation of commodities and securities markets
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