Asset Wealth Management Risk and Regulatory Solutions

Our team of risk and regulatory compliance experts, including former CCO's, CRO's and regulators, are helping our clients reimagine the possible by combining their deep technical skill sets with the latest technology. We offer a complete suite of tech enabled risk and regulatory services to enable you to efficiently manage your risks and regulatory environment.

Our team includes:

  • Former FINRA and SEC examiners and leaders
  • Former Chief Compliance Officers
  • Former Chief Risk Officers
  • Risk and compliance specialists
  • Data and technology enablement specialists 
  • Cyber, Modeling and Credit specialists

Our mission is to assist asset managers in identifying, assessing, and controlling risk in an efficient and cost-effective manner. What sets PwC's Asset & Wealth Management team apart is the breadth and depth of our team's experience and diversity of background.

How PwC can help


Internal Audit, SOX Readiness, Risk Assessment: Audit Planning/Execution, Risk Assessment, SOX Programs & Testing and Control Design to confirm effective risk management, governance and internal control processes are established within your institution.

Regulatory Strategy & Compliance: Regulatory Reporting/Inventory Design & Implementation, Regulatory Testing & Monitoring, Regulatory Change Management and Regulatory Response & Remediation to help you effectively and efficiently handle change and proactively manage new regulatory challenges and risks.

Operational Risk & Enterprise Risk Management: Risk & Control Self Assessment (RCSA) Design and Execution, ERM Program Development & Execution and Management Control Design & Implementation to effectively develop, identify and assess key risks and controls within your organization.

Financial Risk: Credit risk, liquidity risk and market risk solutions across all three lines of defense covering topics that include model risk management, stress testing, governance & organizational structure, policy design and process automation.

Technology & Analytics: Implementing Quantitative Risk Modeling & Analytics, Risk & Regulatory Technology Enablement and Risk Data Warehouses to enable you with products, tools and technology to help your organization mitigate risk and sustain advantage in the marketplace.

Digital Assets: PwC’s Digital Assets team has deep experience in digital asset regulatory compliance and can help institutions assess existing programs, implement new processes and technology initiatives, and independently audit programs against regulatory requirements.


Compliance organization and program assessment: Analyzing the compliance organization, infrastructure, monitoring and governance programs. Assisting with potential governance automation, including the elimination of redundant controls.

Compliance program development and implementation: Assisting in the development and implementation of the compliance organization, compliance program and compliance policies and procedures with an emphasis on operations and controls.

Mock inspections: Performing mock inspections to assist in preparing for an SEC examination through mock SEC interviews, documentation review and testing by former SEC examiners.

206(4)-7 and 38a-1 compliance trust services: Testing compliance control objectives and activities defined by management using AICPA's SOP 07-2.

Due diligence: Performing regulatory compliance due diligence associated with acquisitions of investment management or distribution businesses.

Investigations and litigation support: Investigating facts and analyzing data to quantify exposure, assess vulnerability and formulate strategy to mitigate enforcement and litigation risks.

Training and Upskilling: Advising in the development and delivery of effective compliance training programs.Training on new regulations, core skills, and automation upskilling.


Ready Assess: Stay informed and act faster with a dynamic, data-driven risk assessment platform. Designed with real-world experience, Ready Assess streamlines assessments, making them visual, interactive, trackable and actionable.

Model Edge: Streamline model risk management and model governance with a cloud-based platform that accelerates the end-to-end model lifecycle, giving you tools, templates and test scripts to identify and manage risk more effectively.

Enterprise Control: Automate the operation and testing of controls. With PwC-powered technology and knowledge, Enterprise Control helps you manage risk and compliance costs.

Risk Detect: Identify and flag high risk activity with our digital risk detection and monitoring solution. Utilize advanced analytic algorithms and machine learning to get to key data points quickly and efficiently.

Risk Link: Empower your risk management program with our integrated risk intelligence platform. Risk Link helps you streamline operations, maintain compliance, make strategic decisions and help drive enterprise value.

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