Regulatory compliance
With the regulatory environment continuously changing as regulations are amended and adopted, we have a framework to deal with regulatory changes as they arise and affect our clients. Some examples of these service offerings are below:
- Program design and development
- Policy and procedure design and development
- Compliance control effectiveness assessments
- Mock market conduct exams
- Field inspection outsourcing
- Regulatory required independent assessments
Examples of key regulatory compliance topics:
- Sales suitability
- Equity indexed annuity adoption
- Supervisory control monitoring and testing
- Anti-money laundering
- Replacements
- Market conduct coordination
- Preparing for potential federal regulation options
Compliance, governance and organization
- Compliance cost reduction
- Compliance organizational effectiveness
- Compliance risk assessments
- Compliance measurement and reporting
- Culture and ethics
Financial reporting compliance
- Model audit rule
- Sarbanes AS5
- IT internal controls
- Other internal controls work
Operational and technology compliance
- IT security
- Business process integration
- Privacy frameworks
- Records management
- GRC technology identification and adoption
Risk management
- Enterprise Risk Management (ERM)
- Financial modeling
- Operational risk
- S&P rating readiness/preparedness
- Integrated Governance, Risk, and Compliance (iGRC)
