Protiviti Governance, Risk and Compliance practice is aligned with the needs of financial services, energy and commodities trading and real estate sectors. Our team comprises individuals with specialist knowledge in industry, senior risk and compliance professionals with significant experience both working at regulatory roles and with UK regulators.
Our clients are often large well recognised and complex organisations that operate, often on a global basis, in the capital and wholesale markets, in retail, private and commercial banking, in wealth and investment management insurance industry as well as in exchanges and clearing houses. As well as providing our services direct to clients, our people are often used as subject matter experts in co-sourced and outsourced internal audit and in supporting large change management projects and programmes.
We are active in regulatory debate and discussion, including regular well attended regulatory breakfast series at which FCA senior management regularly speak.
Our services include tailored -
• Risk Function Design and Support
• Governance Reviews including: Board effectiveness reviews and design and effectiveness of high level systems and controls
• Compliance Function Design and Support
• Regulatory Projects; project and programme management and impact assessment and gap analysis
• Supervisory visits and Thematic
• Financial Crime Thematic including AML, Sanctions, Anti- money laundering
• Bribery & Corruption, transaction monitoring
• FCA initiated inc S166 (skilled persons reviews) and “Arrow” preparation/management
• Topical areas including CASS, EMIR, Living Wills, MiFID 2
• Retail Banking/Insurance Conduct Risk
• Risk Frameworks/Operational Risk
• Best Practice/Agile Compliance Functions