Governance, Risk & Compliance
Enterprise risk management, internal control, organization and procedures, and audit and certification readiness, designed to be proportionate, documented and operated by your own teams.
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Regulators, auditors and clients expect evidence that risks are understood and controls actually work. We help you build a governance and control environment that stands up to that scrutiny.
We help financial institutions, investment firms and professional services organisations strengthen governance, risk management, internal control and IT assurance.
Financial and professional services organisations handle sensitive data, client assets and high volumes of transactions under close supervision. They face rising expectations on operational resilience, third-party risk and cybersecurity, while still relying on manual processes and spreadsheets for many controls and reports.
We work alongside your risk, compliance, internal audit and IT teams to map risks, design and test controls, assess IT general controls and cyber resilience, and automate repetitive control and reporting tasks. Where legal or regulatory interpretation is required, we coordinate with qualified specialists.
Sector challenges
- 01
Supervisory and audit scrutiny
Supervisors and auditors expect documented risk assessments, tested controls and clear accountability, and findings must be closed within agreed deadlines.
- 02
Operational resilience and outsourcing risk
Critical services increasingly depend on cloud providers and outsourced functions, requiring stronger oversight of third parties and tested continuity arrangements.
- 03
Manual, spreadsheet-based controls
Reconciliations, reviews and reports performed manually are slow, hard to evidence and prone to error under time pressure.
- 04
Cyber threats to client data and transactions
Phishing, account takeover and payment fraud target the firm and its clients, requiring robust access management, monitoring and incident response.
Operational use cases
- 01
Risk and control matrix refresh before an external audit
Update process narratives, risks and key controls, test their design and operating effectiveness, and prepare documentation and evidence for the auditors.
- 02
IT general controls review of core financial systems
Assess access management, change management, operations and backup controls on systems that support financial reporting, and prioritise remediation of deficiencies.
- 03
Third-party risk assessment for critical outsourced services
Inventory critical providers, assess concentration, security and continuity risks, and define due diligence, contractual and monitoring requirements proportionate to criticality.
- 04
Automation of recurring reconciliations and control evidence
Identify high-volume manual reconciliations and checks, automate data extraction, matching and exception reporting, and keep a reviewable audit trail.
- 05
Incident response plan and crisis simulation
Formalise roles, escalation paths and communication procedures for a major cyber incident, then test them with leadership through a realistic scenario exercise.
Relevant expertise
05 04 Cybersecurity & IT Assurance
We help leadership teams govern cybersecurity risk, obtain independent assurance over IT controls and build an information security management system that stands up to scrutiny.
Explore03 Digital Transformation & Intelligent Automation
We help organizations redesign how work flows, automate where it creates value and build the custom software their operations need, from assessment through deployment and continuous improvement.
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Frequently asked questions
Do you provide regulatory or legal advice?
No. We help you design and operate risk and control frameworks. Where legal or regulatory interpretation is needed, we coordinate with your counsel or with qualified specialists.
Can you support our internal audit function?
Yes. We can reinforce your team on specific reviews, particularly IT and cybersecurity topics, or help design the audit methodology and risk-based plan, while respecting the function’s independence.
Do you work with smaller firms as well as large institutions?
Yes. We scale the framework to the organisation’s size and risk profile. A proportionate, well-operated set of controls is usually more valuable than an extensive one that is not applied.
Discuss your sector challenges
Tell us about your operating context and the decision you face. We will propose a focused first discussion.