Risk Advisory

Regulatory Advisory

In today’s global regulatory environment, firms must continue adapting to ever-changing requirements and expectations.

Comprehensive global compliance and regulatory management solutions.

Regulations are constantly evolving to address new risks to the financial system and to protect customers. FORVIS Regulatory Advisors have in-depth experience with both global regulations and supervisory expectations to help your organization respond and drive value though enhanced resiliency.

Anti-Financial Crime

Financial Crime is a systemic risk that plagues the global financial markets. Financial institutions spend significant capital to identify and adapt their systems, processes and upskilling of teams to keep pace with this ever-evolving risk. FORVIS advisors are at the center of AML emerging trends across the AML risk spectrum, bringing world class talent, industry best practices, and technology enabled solutions to help our clients effectively manage their risks.

  • Program Assessments, Design, Implementation, and Execution
  • Transaction, Alert Monitoring, and Clearing
  • Lookbacks and Investigations
  • Know Your Customer On-boarding
  • Governance, Oversight, Accountability, Communications, and Training
  • Independent Reviews and Validations
  • Model Tuning, Optimizations, and Validations
  • Vulnerability and Gap Assessments
  • Sanction Screening, Due Diligence, Effectiveness, Escalations, and Reporting
  • Data Governance, Data Quality, and Analytics
  • Compliance Review and Internal Audit
  • Managed Services, Outsourcing, and Subject Matter Support

Regulatory Change & Process Improvement

The dynamic regulatory landscape requires financial institutions to establish rigorous adherence programs while remaining flexible enough to adapt and optimize. From synthesizing regulatory feedback to introducing efficiencies and augmenting existing best practices, FORVIS is here to help.

  • Strategic change program and project management
  • Regulatory Transformation
  • Exam Preparation and Management
  • Supervisory Action Response and Remediation
  • Target operating model (TOM) design
  • TOM Roadmap development and execution strategy
  • Process and reporting maturity assessments
  • Rapid process re-engineering

Regulatory Compliance

FORVIS regulatory advisors work with global clients, within the three lines of defense, to help them comply with laws, regulations, and guidance. With our deep financial services compliance experience and innovative regulatory technologies, we help drive compliance efficiencies.

  • Compliance Governance Framework Development
  • Compliance, Risk, and Gap Assessments
  • Regulatory Requirements and Controls Mapping
  • Issues Management / Validation
  • Transaction Testing
  • Policy, Procedure, and Standards Documentation
  • Business Process and Control Mapping
  • Regulatory Process Optimization
  • Board and Management Training
  • Enforcement Action Response and Remediation
  • Compliance Review and Internal Audit
  • Managed Services, Outsourcing and Subject Matter Support

Regulatory Reporting, Data & Analytics

We help broker-dealers, bank holding companies and others across the capital markets with financial and non-financial regulatory reporting. From data origination through report remediation, we help solve clients’ most complex regulatory reporting challenges.

  • Governance, Controls and Oversight Framework/Program
  • Quality Assurance Program and Testing
  • Risk and Control Self-Assessment (RCSA) Development
  • Data Dictionary, Quality, and Lineage
  • Manual Data Governance and Control
  • Regulatory Reporting Process Automation / Process Improvement
  • Digital Regulatory Reporting Solutions
  • Regulatory Reporting Visualization & Analytics
  • Regulatory Rule Consultations
  • Managed Services, Outsourcing, and Subject Matter Support
  • Broker Dealer, Securities, and Capital Markets Operations

Regulatory Technology

Our advisors combine broad functional and technical knowledge with best-in-class strategies and methodologies to help clients automate and optimize regulatory compliance, monitoring, and reporting—from assessing their needs to selecting, developing, and implementing approaches.

  • Regulatory Technology Automation Maturity Assessments
  • Vendor Selection and Implementation Support
  • Agile Software Development Support
  • Data Lake Strategy
  • Compliance Management System Implementation
  • Business and Functional Requirements Development and Documentation
  • User Acceptance Testing Strategy and Execution
  • Regulatory Analytics and Reporting Solutions
  • Regulatory Data Architecture Design and Review
  • Third Party Risk Management

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