Risk & Regulation

Control Environment Assessment, Risk Framework Definition and Regulatory Change Delivery 

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We know that you need robust risk management and controls framework that helps you deliver across your regulatory commitments and provide customers the assurance required to develop trusted and long-standing relationships.

Our consultants are specialists in Risk and Regulations, including Consumer Duty & Customer Vulnerability, Operational Resilience, CASS, and Complaints. We leverage our frameworks and supporting tools to assess, refine and implement changes to improve risk frameworks, controls and management practices.

Our services include:

  • Control Environment Assessment
  • Risk Framework Definition
  • Regulatory Change Impact & Delivery

As change practitioners, we are highly experienced in delivering regulatory change, working with you to define requirements and plan for delivery.

Examples of Relevant Client Engagements

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Life & Pensions Company – Consumer Duty Correspondence Assessment
We conducted a Consumer Duty compliance assessment for a leading Life & Pensions company on all customer communications. This included channels such as letters, emails,...
Risk & Regulation
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UK Pension – Operational Resilience Compliance
We partnered with a rapidly expanding SIPP Provider post-merger to establish consistency between processes and compliance with Operational Resilience regulations. Leveraging our SimplifyDNA tool, we...
Risk & Regulation
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Risk Regulatory Change Delivery
Following the implementation of ESMA Cost & Charges (European Regulation), we supported one of the major Asset Managers to ensure compliance. Our engagement focused on...
Risk & Regulation

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