Comprehensive Solutions For Complex Industry Issues
Services
Services
Internal Audit, Risk, and Regulatory Consulting
Conduct risk assessments across the enterprise, perform gap analysis and remediation plan
Design and implement operational risk controls and governance structures under COSO standards
Perform independent review and assist outside auditors on the annual certification of the financial statements
CCAR and Capital Planning: Provide audit assurance on capital plan submission to comply with FRB and PRA regulatory authorities
Prepare Form PF and Form ADV
Create business metrics and dashboards to monitor daily operational performance
Address operational gaps and deficiencies stemming from gaps found from a Pre-SSAE 16 review (formerly SAS 70) on a firm’s internal controls
Advising on regulatory requirements related to the Dodd-Frank Act, SEC, and FINRA rules
Assist the Regulatory Relations team with regulatory examinations and inquiries including Federal Reserve Board, FRBNY, New York State Department of Financial Services, SEC, FINRA, and CFTC
Identify training needs and develop training materials and programs designed to ensure that corporate function has a high level of awareness of applicable legal/regulatory requirements/expectations
Operational Due Diligence and Risk Assessment for Private Funds and Private Equity Funds
Review all relevant documentation on overall business and ongoing operations: fund documentation, policies and procedures, and marketing materials
Perform onsite visits to meet with key stakeholders and evaluate operational infrastructure
Perform service provider review of key performance indicators and monitoring plan
Perform background checks on principals to ensure compliance and investigate red flags
Thought Leadership
Draft original technical content on current relevant risk and regulatory topics via whitepapers and articles
Assist clients in the publication of thought leadership content in industry publications
Draft discussion topics and content to increase social media presence on Linkedin and Twitter
Design and develop corporate newsletter
Conference and Panel Event Management
Design and execute customized conferences and panels utilizing industry experts and focusing on timely industry topics
Facilitate introductions to corporate partners and media outlets