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
- Draft press releases