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Investment Banking & Capital Markets

Global regulators weave a complex web of rules and regulations for capital markets participants, and it is important for firms to properly manage regulatory compliance risk.

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Banking and securities trading firms are challenged by the sheer volume of applicable regulations and the industry is adopting new technologies and identifying opportunities to effectively reduce the risk.

We can assess the risk, define the “right-size” solution and implement a program to mitigate operational and compliance risks in the following areas:

  • Financial crimes, including anti-money laundering (AML) and sanctions compliance
  • Compliance risk, including risk assessments, policy updates, horizon scanning, and annual testing
  • Conduct and culture
  • Cybersecurity and data
  • Regulatory remediation and change management
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Why EisnerAmper

Experience Meets Execution

Risk Assessment
We leverage our firm’s world-class audit capabilities and proven risk assessment methodologies to provide a truly independent assessment and testing of policies and controls.

Expert Advice
Our team of former regulators and compliance officers has the experience and expertise necessary to offer our clients expert guidance and advice on compliance and regulatory matters.

Operational Improvements
We advise on, and can help implement, best practices to improve the operational efficiency of critical functions throughout your organization.

Remediation
We use proven methodologies and tools to assist our clients with remediation initiatives across front, middle and back-office functional areas within their organizations.

Governance & Controls
We can help build a solid compliance foundation and control framework that address regulatory compliance issues and can adapt to the evolving regulatory environment.

Project Management
Our project managers and business analysts understand business processes and have the relevant functional experience to execute large change management initiatives either locally or on cross-border basis.

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What's on Your Mind?

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Louis Bruno

Louis Bruno in Regulatory and Compliance Services has over 15 years of experience in assisting hedge funds, broker-dealers, private wealth managers and multinational corporate banks with strategic and regulatory change management initiatives.

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