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Regulators around the globe are focused on enforcing comprehensive rules in an effort to improve transparency of the global financial system and reduce systemic risk.

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 Crime, Including Money Laundering and Cyber Attacks
  • Capital and Liquidity Management, Including Analysis, Stress Testing and Reporting
  • Information Management, Including Recordkeeping and Regulatory Reporting
  • Business Conduct, Including Sales Practices, Supervision and Fair Lending

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.


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.

What's on Your Mind?

a man in a suit

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.

Start a conversation with Louis