From navigating risk and compliance to delivering competitive edge

Financial Services Risk and Regulatory

Overview

Reimagining risk to drive performance

We help financial institutions navigate complex regulatory requirements and evolving risk expectations with confidence. By combining deep industry and regulatory experience with a technology-led approach, we modernize risk, compliance, and internal audit functions. Through AI, automation, and advanced analytics, we help strengthen governance, improve decision-making and build resilience across the enterprise.

Market trends

71%

expect to undertake digital transformation initiatives over the next three years that require the support of Compliance.

Source https://www.pwc.com/gx/en/issues/risk-regulation/global-compliance-survey.html

>50%

of firms have deployed GenAI use cases across the organization, with risk functions actively shaping adoption.

Source https://www.pwc.com/gx/en/industries/financial-services/banking-risk.html

73%

of risk leaders are mostly or very confident in their ability to advise business leaders on geopolitical risks.

Source https://www.pwc.com/us/en/executive-leadership-hub/library/business-outlook-100-days-risk-management-leaders.html

Capabilities

Internal audit and controls
Regulatory risk and compliance
Sales and trading operations

Internal audit and controls

Our Internal Audit services leverage leading methodologies across risk assessment, planning, execution and reporting to help financial institutions strengthen governance and internal controls. Combining deep industry and compliance expertise, we align audit functions to strategic and operational objectives while using technology and AI to enhance efficiency. Our SOX solutions design and optimize enterprise-wide programs to strengthen controls, streamline testing and modernize reporting with confidence.

Regulatory risk and compliance

Financial institutions operate in a complex and evolving regulatory environment. We advise organizations on managing regulatory risk and compliance exposure and modernizing risk and compliance processes. Our capabilities span regulatory strategy and compliance, operational risk and controls, financial risk and modeling, and risk technology and analytics—enabling proactive, tech-enabled risk management across the enterprise.

Sales and trading operations

We lead front-to-back Capital Markets transformation to expand product offerings, drive financial and non-financial resource efficiency, and enhance risk & controls spanning front-, middle- and back-office operations. We drive tech-enabled delivery for clients to realize outcomes such as access to new markets, expanded operating leverage, enhanced governance & transparency, responsible AI adoption and scalable growth.

Insights

Contact us

Amanda Cox

Financial Services Risk & Regulatory Practice Leader, PwC US

Craig Schubert

Principal, Internal audit and controls, PwC US

Matthew Bagin

Principal, Regulatory risk and compliance, PwC US

Gaurav Shukla

Principal, Sales and trading operations, PwC US

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