Regulatory Compliance & Risk

As global regulation becomes increasingly complex and risks associated with non-compliance grow, we help our clients keep on top of regulatory change through our knowledge of regulatory requirements across the globe, our deep understanding of asset and wealth management, integrating with the clients we serve, and retaining a workforce of subject matter experts.

How we work with clients

Our team of Compliance and Risk experts is comprised of seasoned ex-regulators, practitioners and experienced consultants that know how global regulators think and what they expect. We bring leading regulatory expertise and market best practice to transform the way our clients handle regulatory compliance and risk.

Our support includes:

Regulatory Change

 

  • Regulatory Change impact assessment & planning
  • End-to-end regulatory change implementation support
  • Technical regulatory subject matter advice and guidance
  • Post implementation reviews and support

 

Risk and Compliance Transformation and Technology:

  • Compliance and Risk vendors & technology selection and implementation
  • Risk & Compliance (2nd line) operating model and governance design and implementation
  • Automation and systems/process/control improvements and fixes
  • Benchmarking against peers and market best practice guidance

Independent Reviews

  • Targeted independent thematic reviews across Compliance and Risk areas (inc. Internal Audit)
  • Governance, risk management, controls and oversight models enhancement
  • Gap analysis, recommendations and practical implementation road maps
  • Regulatory Due Diligence

Remediation & Crisis Management

  • Errors and risks identification, assessment and remediation
  • Regulatory and risk systems and processes fixes
  • Targeted regulatory remediation
  • Preparation and management of regulatory visits, feedback and intervention

In addition to the capabilities above, we provide our clients with insights on:

  • Global Regulatory Reporting Regimes (incl. MiFIR, EMIR, CFTC, SFTR, ASIC, MAS)
  • Product Governance & Value
  • Financial Crime & Market Abuse
  • Prudential Risk
  • Enterprise Risk Management
  • Conduct
  • Governance & Culture

Why Alpha?

Across the globe, our experts deliver pragmatic advice on risk and compliance work.

We’ve built a uniquely qualified team that brings an unrivalled knowledge of market practice to the asset and wealth sector. We know how the regulator trains its people to think and what good practice looks like.

Our practical recommendations and action plans help clients work more efficiently and give them reassurance that they have done “everything they can” to manage risk.

Q&A with Bernardo Castel-Branco and Marc Marly, Heads of Regulatory Compliance & Risk for the UK and Europe

What’s the biggest headache facing clients?

Independent compliance and risk assessments, especially independent controls reviews, are currently top-of-mind for our clients. Also, the need to provide timely and accurate regulatory reporting remains one of the most burdensome and highest risk challenges for asset and wealth managers. Keeping pace with regulators' demands can seem like running to keep still at times. And at the same time, businesses have to show that they have effective governance and risk management in place and complete oversight and control.

How can they manage the burden most effectively?

Putting the right methodologies in place without disrupting day-to-day operations is key. Our team has worked with most of the major players in the market and is incredibly well-versed in creating practical action plans to improve risk management and compliance.

Who will be completing this work?

Our highly skilled Regulatory Compliance & Risk consultants have deep expertise in topics across the regulatory landscape. Our commitment to being highly involved within each project and ensuring subject matter expertise sets us apart.