Financial Crime Compliance

Financial Crime Compliance services

Assess and Assure Services

We help our clients to identify, quantify, document, monitor, and manage financial crime risks across their enterprise. Typically, we help clients by performing programme, risk, and control assessments and supporting Internal Audit teams execute their Financial Crime audit programmes as well as validate corrective action plans.

 

Regulatory Response and Remediation Services

In a highly regulated environment our clients need to be able to successfully prepare for and respond to regulatory examinations and deal with the unexpected. Our services include: Regulatory examination planning and management; programme remediation planning and execution; Regulatory change planning and execution, Incident response and crisis management.

 

Forensic Investigation Services

We help our clients investigate suspected internal fraudulent activities, corruption and misconduct quickly and confidently leveraging our forensic expertise to collect, extract and analyse data and information. Our investigation services cover: Internal Fraud, Bribery and Corruption; Ethics and Employee conduct; Data breaches; Claims and disputes; Third party due diligence reviews.

 

Fraud risk management

Respond to red flags or fraud reports and develop right-sized fraud risk management programmes tailored to your unique fraud risk profile. Our teams assist organisations with architecting fraud control policies and response plans, risk assessment methodologies, and training and awareness programmes. We also help you leverage analytic tools and techniques to identify yellow and red flags that can be indicative of fraud and misconduct within your organisation.

 

Data and Analytics Services

Data is more than ever critical to our client’s ability to optimise their Financial Crime programmes, comply with applicable regulations and manage financial crime risk effectively. Our core data and analytics services include: Data Analytics Strategy Development and Implementation; Data Analytics Tools Assessment and Deployment; Data mapping, lineage and transformation; Model development, validation, tuning and optimisation; Scenario analysis and development.

 

Transformational Services

We support our client’s efforts to transform their end-to-end Financial Crime operations in order to drive cost reduction, enhance risk management and minimise regulatory penalties and financial loss. We combine human intelligence with technology and tools to help uplift our client’s entire financial crime ecosystem. Our services include: Business Case development; Process Optimisation Diagnostics; Target Operating Model design; Process re-engineering and automation; Technology Vendor Assessment and Systems Implementation; Location Assessment and Transition Support and Management; Transform Programme and Project Management.

 

People and Organisation Services

Our approach to helping organisations leverage their most trusted assets, their people, is driven by our recognition that getting the best from people across every level especially in times of constant change is central to business success. Getting the right people in the right jobs with right skills together with an ability to accept, adopt and drive change will power a successful organisation. Our services include: Organisational Model Design and Implementation; Talent and Competency Assessment, Competency Model Design and Implementation; Training Curriculum Development; Culture Assessments and Change Management Support.

 

Managed Services

As Financial Crime transaction volumes grow and become more more complex, organisations come under pressure to add resources. We can provide additional capacity through our Managed Services solutions. We combine low-cost delivery with process innovation to efficiently support both Business as Usual (BAU) operations or one-off projects to clear backlogs or perform transactional remediations. Our core services include: KYC, AML, Sanctions and Fraud alert clearance; KYC AML and Fraud file reviews or case investigations; Quality Assurance reviews; Capacity Modelling, Metrics Reporting and Analysis.

 

Anti-Money Laundering Services

Protiviti provides a wide variety of consultative services designed to assist organisations in all aspects of AML/Combating the Financing of Terrorism (CFT) compliance.