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