Regulatory requirements are unavoidable for most organizations, but especially so with industries such as financial services, which has experienced a monumental global shift since the financial crisis. In the wake of new and complex regulations as well as unprecedented supervision and enforcement (e.g. in the US, where regulators have begun to tailor certain regulatory requirements based on firms’ size and risk profiles), the regulatory compliance model for financial services firms must evolve from mere remediation to a more proactive, risk-driven approach, striking the right balance of technology-enabled controls and human oversight to ensure adequate protection of consumer, monetary, and digital assets.
Wavestone US helps financial services clients navigate enterprise-wide regulatory compliance, with experienced teams delivering solutions across the entire compliance value chain, including:

  • Operational compliance and governance model optimization
  • Regulatory or internal audit remediation planning and execution
  • Control and risk assessment frameworks, scoring, and reporting
  • Compliance policies and procedure documentation, including HR training
  • Emerging regulations impact assessment
  • Industry benchmarking and RegTech suitability
 

Regulatory & Compliance

 

For more information on our regulatory compliance offerings and perspectives, please contact our team.

Strategy Brief

Preempt disruption and gain a competitive edge.

Learn how the role of IT leaders is rapidly changing.

Recommendations


WGroup, a Wavestone Company, Makes the Inc. 5000 List for the Second Consecutive Year

Aug 14, 2019

We're proud to be included among America's fastest-growing companies.

Sink or Swim: IT's New Paradigm Shift

Jul 30, 2019

IT needs a more competitive stroke for its contribution to remain relevant in today's fluid business environment.