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REGULATORY & COMPLIANCE

The implementation of ever 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 all the more important for institutions to not only implement the requirements as requested, but to do it efficiently.

We therefore advise banks, exchanges and other financial services providers with a holistic approach and support them with the efficient specialist and technical implementation of regulatory requirements and best practices as well as, if needed, 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 and RegTech:

1. Anti-Financial Crime (AFC)

In the area of Anti-Financial Crime, we support you with questions relating to the topics money laundering prevention, anti-terrorism financing, sanctions/ embargoes and the prevention of fraud, bribery and corruption.

In detail, our consulting portfolio includes the following services:

  • Implementation of new regulatory requirements (e.g. 5th EU Money Laundering Directive), incl. upstream impact and gap analyses, efficient project management (PMO) and corresponding quality assurance
  • Preparation, review and optimization of risk analyses, 1st and 2nd level controls, processes (e.g. Know Your Customer (KYC), Transaction Monitoring, Watch List Filtering, Suspicious Transaction Reporting), policies and procedures as well as reporting
  • Advice and support with the selection and implementation/ configuration of AML systems and the digital transformation and automation of existing processes
  • Support of audit examinations, incl. taking over audit leads
  • Design and execution of trainings for employees
  • Support regarding your outsourcing management

2. Capital Markets Compliance

In the area of Capital Markets Compliance, we support your compliance function and business units with questions relating to the topics investor protection, market infrastructure, market transparency and market abuse.

In detail, our consulting portfolio includes the following services:

  • Implementation of new regulatory requirements (e.g. MiFID II, MiFIR, MAR), incl. upstream impact and gap analyses, efficient project management (PMO) and corresponding quality assurance
  • Advice regarding the further development of your compliance function and your compliance management system
  • Preparation, review and optimization of risk analyses, 1st and 2nd level controls, processes (e.g. regarding investor protection, market infrastructure, market transparency, market abuse, your compliance function and your compliance management system), policies and procedures as well as reporting
  • Advice and support with the selection and implementation/ configuration of IT-Compliance solutions (workflow-/ monitoring systems) and the digital transformation and automation of existing processes
  • Advice and support regarding your IT-Compliance and Information Security
  • Support of audit examinations, incl. taking over audit leads
  • Design and execution of trainings for employees
  • Support regarding your outsourcing management

3. RegTech

In the area of RegTech, we support your compliance function and business units with the digital transformation and automation of relevant processes.

In detail, our consulting portfolio includes the following services:

  • Execution of tailor-made in-house workshops or training series for the key technologies artificial intelligence (AI) and machine learning (both, basic and deep dive trainings for selected machine learning algorithms)
  • Advice and support regarding the identification of automation potentials for new and existing processes (such as KYC and transaction monitoring) considering RPA, AI/ machine learning and text mining/ natural language processing (e.g. as part of a pilot study)
  • Implementation, enhancement and validation of machine learning algorithms considering the regulatory developments on European and national level regarding digitization, big data and AI (e.g. regarding the “traceability and explainability of algorithms and decisions”) as well as IT compliance
  • Advising and implementing tailor-made end-to-end solutions incl. their operationalisation

Your benefits

  • Profound experience and expertise with renowned financial institutions in the areas of Anti-Financial Crime (AFC), Capital Markets Compliance 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

Get in touch

Get in touch

Mussa Rahbari

Senior Manager

+49 174 9951130

Mail-Contact

Get in touch

David Scheinmann

Senior Manager

+49 174 9951034

Mail-Contact

Get in touch

Daniel Schäfer

Manager

+49 174 9951137

Mail-Contact

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