Risk Management & Compliance Services for Financial Institutions

We deliver end-to-end risk assessments tailored for banks, credit unions, broker-dealers, and fintechs, focusing on operational resilience, regulatory alignment, and third-party risk exposure.

• IT Risk & Control Assessment
• GLBA Risk & Control Assessment
• E-Banking Risk & Control Assessment
• AI Risk & Control Assessment
• Robotic Process Automation (RPA) Risk & Control Assessment
• API Risk & Control Assessment
• Cloud Computing Risk & Control Assessment
• Cybersecurity Posture and Maturity Readiness & Control
  Assessment

• FedLine Security & Resilience Assessment
• SWIFT Customer Security Program (CSP) Independent Assessment
• Artificial Intelligence Governance and Risk & Control Assessment
• Model Risk Governance & Evaluation
• Third Party Audit Reports evaluation including Complementary User Entity Controls (CUECs) Review
• Identity Theft Red Flags Risk & Control Assessment
• Internal Controls Effectiveness evaluation for FDICIA and SOX Readiness

Establish a future-ready, board-supported GRC framework

• Enforcement Action Remediation Roadmaps & Regulatory Response Support
• Model Risk Management including model validation aligned with SR 11-7 Guidance on Model Risk Management, OCC Model Risk Management Booklet, and OCC Bulletin 2011-12
• Governance Program Development for information security, information technology, and artificial intelligence
• Policy and Procedures Design & Documentation
• Board-Level Risk Appetite & Risk Tolerance Development
• Key Performance & Risk Indicators (KPI/KRI) Design and Implementation

Leverage fractional leadership to navigate complex threats and regulatory expectations.

• vCISO / ISO Services for Financial Institutions
• Information Security Strategy Development and Implementation & Board-Level Cyber Oversight
• Data Privacy Program Development

Deploy and Govern AI Models with Confidence, Compliance, and
Transparency Our data science and AI services help financial institutions harness the power of machine learning while maintaining strict regulatory compliance and model risk governance. We support banks, credit unions, and fintechs in building, validating, and monitoring AI and ML models aligned with guidance from the OCC, Federal Reserve, FDIC, and FFIEC.

• AI Model Inventory & Governance Frameworks
• AI Model Validation (Regulatory-Compliant) aligned with OCC
  Bulletin 2011-12, SR 11-7, and Model Risk Management principles.
• Machine Learning Model Development, Implementation, and Monitoring
• AI Risk Assessments and Governance Program

Equip your teams and board members with targeted education and regulatory intelligence.

• Employee Cybersecurity Awareness Training
• Board of Directors Training on Cybersecurity, AI, and Regulatory Risk
• Regulatory Compliance Best Practices & Enforcement Trends
  Workshops
• Enterprise Risk Management & Internal Controls Frameworks

We deliver end-to-end risk assessments tailored for banks, credit unions, broker-dealers, and fintechs, focusing on operational resilience, regulatory alignment, and third-party risk exposure.

• IT Risk & Control Assessment
• GLBA Risk & Control Assessment
• E-Banking Risk & Control Assessment
• AI Risk & Control Assessment
• Robotic Process Automation (RPA) Risk & Control Assessment
• API Risk & Control Assessment
• Cloud Computing Risk & Control Assessment
• Cybersecurity Posture and Maturity Readiness & Control
  Assessment

• FedLine Security & Resilience Assessment
• SWIFT Customer Security Program (CSP) Independent Assessment
• Artificial Intelligence Governance and Risk & Control Assessment
• Model Risk Governance & Evaluation
• Third Party Audit Reports evaluation including Complementary User Entity Controls (CUECs) Review
• Identity Theft Red Flags Risk & Control Assessment
• Internal Controls Effectiveness evaluation for FDICIA and SOX Readiness

Establish a future-ready, board-supported GRC framework

• Enforcement Action Remediation Roadmaps & Regulatory Response Support
• Model Risk Management including model validation aligned with SR 11-7 Guidance on Model Risk Management, OCC Model Risk Management Booklet, and OCC Bulletin 2011-12
• Governance Program Development for information security, information technology, and artificial intelligence
• Policy and Procedures Design & Documentation
• Board-Level Risk Appetite & Risk Tolerance Development
• Key Performance & Risk Indicators (KPI/KRI) Design and Implementation

Leverage fractional leadership to navigate complex threats and regulatory expectations.

• vCISO / ISO Services for Financial Institutions
• Information Security Strategy Development and Implementation & Board-Level Cyber Oversight
• Data Privacy Program Development

Deploy and Govern AI Models with Confidence, Compliance, and
Transparency Our data science and AI services help financial institutions harness the power of machine learning while maintaining strict regulatory compliance and model risk governance. We support banks, credit unions, and fintechs in building, validating, and monitoring AI and ML models aligned with guidance from the OCC, Federal Reserve, FDIC, and FFIEC.

• AI Model Inventory & Governance Frameworks
• AI Model Validation (Regulatory-Compliant) aligned with OCC
  Bulletin 2011-12, SR 11-7, and Model Risk Management principles.
• Machine Learning Model Development, Implementation, and Monitoring
• AI Risk Assessments and Governance Program

Equip your teams and board members with targeted education and regulatory intelligence.

• Employee Cybersecurity Awareness Training
• Board of Directors Training on Cybersecurity, AI, and Regulatory Risk
• Regulatory Compliance Best Practices & Enforcement Trends
  Workshops
• Enterprise Risk Management & Internal Controls Frameworks