Regulatory finding remediation

Deploy and execute with specialist resources

Utilize specialists with relevant risk management experience to aid your regulatory remediation teams in the addressing of regulatory findings to ensure design and operating effectiveness of remediation finding resolution.

Construct a leading regulatory remediation function

Develop strategies, governance, staffing plans, policy and procedures, templates, and reporting for your regulatory remediation team. Conduct training and guide the rollout of new or enhanced function.

Establish a regulatory remediation project management office

Execute remediation programs (MRA/MRIA) across enterprise risk categories from regulator response letter drafting through closure package submission to the regulator.

Preemptively assess the maturity of your organization

Review Regulatory thresholds ($10B, $50B and Category IV) across the 3 lines of defense structure and initiatives such as Internal Liquidity Stress Tests, CCAR, Resolution Planning, and others to avoid regulatory findings.

Execute remediation control testing

Test controls across various processes, identifying weaknesses or non-compliance issues with results that can be utilized by 3LOD and closure packages for the regulatory agencies.

Proactively identifying and mitigating risk in financial services with a RCSA

John Arvanitis

Managing Director, Financial Institutions Advisory

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