1. EXXETA
  2. /
  3. Industries
  4. /
  5. Financial Services
  6. /
  7. Regulatory & Compliance

REGULATORY & COMPLIANCE

The implementation of constantly new regulatory requirements and initiatives poses a major challenge for the financial industry in times of low interest rates and declining margins. Thus, it is even more important for institutions to implement the supervisory requirements not only as required but also efficiently.

We therefore advise banks, exchanges and other financial services providers with a holistic ap-proach and support the efficient professional and technical implementation of regulatory requirements and best practices as well as - if required - the digitization and automation of relevant processes.

Our offering

Our range of consulting services comprises the subject areas Anti-Financial Crime (AFC), Capital Markets Compliance, Sustainable Finance and RegTech (Digital Solutions and Automation/ AI):

Anti-Financial Crime (AFC)

AML, CTF, Sanctions & Embargoes, Prevention of Fraud, Bribery and Corruption (including e.g. Know Your Customer (KYC), Client Lifecycle Management, Transaction Monitoring)

Capital Markets Compliance

Securities Compliance and MaRisk Compliance, Investor Protection, Market Infrastructure, Market Transparency, Market Abuse and IT Compliance (including e.g. MiFID II/ MIFIR, MAR, PRIIPs, SFTR, BMR, BAIT)

Sustainable Finance

Implementation of the necessary sustainability measures for the EU taxonomy, Green Bond Standards, ESG benchmarks and investment advice as well as review and adjustment of the sustainability strategy

RegTech

Development of Digital Solutions for AFC, Compliance and Risk Management processes, incl. Automation through Artificial Intelligence, Machine Learning, NLP/ Text Mining, Big Data and RPA

Our expertise

Analysis and implementation of regulatory requirements

Including upstream impact and gap analyses, efficient PMO and quality assurance

Risk analyses, controls, policies and reporting
 

Creation and optimization of risk analyses, 1st and 2nd level controls, policies, procedures as well as reporting processes

Process optimization and automation
 

Identification of optimization and automation potentials for processes along the entire value chain

Digital & agile transformation

Advice and support with the development, selection, configuration and implementation of digital solutions in an agile manner

Audit support and outsourcing management

Support of audits (incl. taking over audit leads) and outsourcing management (incl. cloud outsourcing)

Trainings & workshops
 

Design and performance of tailor-made inhouse workshops or training series for certain subject areas and key technologies

Your benefits

  • Profound experience and expertise with renowned financial institutions in the areas of Anti-Financial Crime (AFC), Capital Markets Compliance, Sustainable Finance and RegTech
  • Holistic support from the analysis and design up to the implementation, optimization, digitization and automation of your institution-specific processes
  • A methodically efficient approach considering the big picture
  • Identification and creation of synergies between the 1st, 2nd and 3rd line of defense
  • Interdisciplinary expert teams for business processes and technology
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