Case Studies
Advancing Risk & Compliance Balanced Performance
Strategy & Compliance for Digital Bank building from the Ground Up
Long before Environmental, Social, and Governance (ESG) was a prominent topic in corporations. We worked with a mission-oriented startup that wanted to establish itself as an all digital bank with the goal of providing financial equity to serve a market segment that was underserved.
Our work included:
Identifying compliance strategy and approach
Developing the policies, processes, and systems necessary to support the compliance program
Engaging with consultants and regulators to promote the compliance program attributes
Identified vendors and consultants necessary to build processes and systems
Advised senior leadership team and board of directors for strategic implementation and timeline execution
Supported engagement with legal advisors and regulatory discussions
Today our client is thriving and continues to be a pioneer with their products and services to the market with a purpose. We are glad to have been a part of their ESG journey and understand that a balanced approach to compliance can support a business strategy for success.
Consultancy for Payment Processor
An existing payment processor company that was acquired by a global payments- focused company hired us to align their compliance and regulatory requirements to the global market.
The engagement required a full review of the existing compliance framework, followed by recommended changes, and support to implement these changes into practice. We helped build out the due diligence process to meet new regulatory requirements and be the on call compliance resource. Creating simple and efficient processes, removing ancillary components, and creating new easy-to-enact systems, we were able to set this company up for success in the global market.
Consultancy for Artificial Intelligence Technology
Oftentimes our clients have everything they need to succeed, they just require the resources and support to make a strategic jump. This existing company was poised for success and ready to scale, but needed expertise for their internal team and client facing support.
We helped to refine the artificial intelligence neuro network so that it could be more informed about financial crimes related to typologies, red flags and requirements and the end result was truly spectacular. By ensuring consistent and subject matter expertise was applied appropriately, our client was able to progress by leaps and bounds.
Advisor on Board for Blockchain Company
After an initial 3-month engagement to provide risk advisory services with a startup blockchain-based platform company that powers foreign exchange trades with same day settlement, our founder Pawneet Abramowski saw a value in the company’s approach to risk/compliance and was appointed to the Advisory Board.
Pawneet provides her industry expertise and collaborates with the management team to ensure that as they engage with their clients that the value proposition of the blockchain distributed ledger capabilities of transparency, reduced risk and lower cost to participants is maximized.
Strategic Advisory for a Multinational Bank
​Global regulatory requirements have a direct impact on multinational institutions. Navigating, prioritizing and assessing the effective execution of a Compliance Program that fits the jurisdictional differences is important. Based on our broad expertise we ensured that compliance can be dynamic and should evolve to keep up with the business strategy.
We’re proud to have been part of the process and journey to help grow the business with sound compliance practices.
Established a global requirement framework for compliance keeping local jurisdictional standards and corporate guidelines
Created strategic initiatives for product and service alignment with global footprint
By cleaning up existing regulatory challenges, the company was able to achieve unprecedented growth, expand through acquisitions as an institution and ultimately grow their balance sheet.
Compliance/Risk Audit Readiness
Audits are unique to every organization and we work with our clients with transparency and view of careful identification of areas of improvement in the overall compliance program.
We assess our client’s business to guide them across a focused and effective scope suitable for audit readiness. We help to proactively identify gaps which can be remediated or enhanced ahead of regulatory examinations or audits that will withstand the scrutiny.
We assisted clients in identifying a appropriate auditor to carry out the applicable audit and supported the management team during the audit process. Provided guidance and in absence of compliance.risk staff, served as a subject matter expert on behalf of our client during the audit.
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