Advisory & Transformation
Clients typically engage us when they have been subject to regulatory feedback, are expecting a visit from the regulator, or have concerns and want to take proactive action.
Regardless of the situation, we can help and have successfully delivered some of the most challenging projects in the industry.
Our advisory and transformation services are delivered using tech-enabled toolkits and methodologies that have been developed and tested over multiple engagements, accelerating delivery and reducing overall engagement costs. They reflect industry regulations, guidance and industry-leading practices.
We are based in London, Paris and Hong Kong but it makes no difference to us where you’re based: we have worked with clients and regulators all over the world. We can work in partnership with you and your teams to deliver the following services:
-
Independent Assessment or Audit
Conduct an independent assessment or audit of your FCC framework, systems and controls to proactively identify potential control gaps or weaknesses.
-
FCC Policy, Standards and Procedures
Design or enhance financial crime policies, standards and procedures.
-
FCC Strategy and Target Operating Model
Foundational FCC strategy development, including design and implementation of Risk Appetite Frameworks and strategic FCC Target Operating Models.
-
FCC Control Design and Enhancement
Design or optimise your existing financial crime controls, including Customer Risk Assessment, SAR reporting and Controls Testing and Assurance Framework.
-
Governance and Oversight
Design or enhance your governance, oversight and Three Lines of Defence Model.
-
FCC Training and Awareness
Design and deliver financial crime training at all levels, from the Board to specific role-based training.
-
Business-Wide Risk Assessment
Design and conduct a comprehensive risk assessment to assess your inherent and residual financial crime risk.
-
Transformation and Remediation Support
Design, set-up and delivery of FCC transformation and broader remediation programmes, including business case development and implementation support.
Benefits and Outcomes Delivered
We understand that all firms’ business activity, customer base and risk appetite will differ. We therefore work closely with our clients to develop a deep understanding of their business and FCC framework in order to develop an effective, proportionate and risk-based approach to financial crime risk management.
Plenitude’s services and capabilities are grounded in our multi-jurisdictional expertise, our proprietary suite of tools and RegTech products, and our deep understanding of sector-specific regulatory obligations and needs. This enables us to deliver the following benefits and outcomes to our clients:
-
Market-leading advisory, transformation and technical expertise with tech-enabled delivery
Our full-service offering enables us to meet all of our clients’ needs. Our tech enabled delivery approach leverages our extensive suite of proprietary tools and RegTech products which enables us to accelerate delivery and reduce overall engagement costs.
-
Regulatory compliance and assurance
We enable clients to fully understand and meet their regulatory obligations, along with the ability to present robust documentation to demonstrate their conformance with regulatory requirements.
-
Enhanced efficiency, effectiveness and cost reduction
Our tech advisory, data analytics services and RegTech products enhance efficiency, optimise detection accuracy, streamline workflows and reduce false positives, leading to improved effectiveness and significant cost savings.
-
Access to cutting edge technology and future-proofed compliance
We enable our clients to stay ahead of evolving regulations and criminal tactics by optimising current systems and controls, deploying the latest AI-powered technology and data analytics services.
-
Compliance transformation
We partner with clients to transform their entire compliance function, fostering a culture of data-driven decision-making and continuous improvement.
Our specialists
Alan Paterson
Co-CEO
Asad Choudhary
Co-CEO
Daniel Keay
Senior Executive
Jesal Punjani
Senior Executive
Zubin Lee Kasture
Senior Executive
Alex Brennan
Senior Manager
Alex Statham
Senior Manager
Gabriel Cozma
Senior Manager
Graeme Ford
Senior Manager
Josephine Otuagomah
Senior Manager
Julie Sefton
Senior Manager
Paul Mclear
Senior Manager
Stuart Phillips
Senior Manager
Sean Bresnahan
Manager
Related articles
Industry News
10 October 2024
Singapore's Consultation Paper on Proposed Regulatory Approach for DTSPs
Get in touch to speak to the team or to request a demo
Our best-in-class team are committed to building a secure financial system, safeguarding society, and empowering our clients to meet their regulatory obligations.
Contact Us