Services
Four dedicated services that support the operational, regulatory and compliance side of running a financial-services business.
BPM Service
Structure. Optimize. Transform.
Our Business Process Management & Transformation service provides continuous, hands-on support in analysing, structuring, documenting and improving business processes — combined with practical guidance through digitalisation, automation and system change.
- Business Process Management — Defining and maintaining process standards and end-to-end process governance; analysing and optimising current and target-state processes; building and maintaining a consistent process landscape with clear roles, responsibilities and interfaces.
- Transformation & Digitalisation — Supporting digitalisation initiatives with a focus on process automation, data flows, reporting and system integration; translating business requirements into structured process, data and solution concepts; accompanying system implementations and migrations.
- Process Design & Control Alignment — Embedding control points into process design (approval mechanisms, four-eyes principles, plausibility checks, authorisation checks, escalation paths) and aligning process requirements with governance, risk and compliance functions.
- Interface Management — Acting as the coordinating interface between business units, governance functions, IT and external partners; moderating cross-functional workshops and supporting the evaluation of external solutions.
Scope note: this service provides business-process and transformation support; it does not constitute legal, tax, audit, compliance or risk-management advice.
Compliance Services
Insourced compliance oversight, on demand.
Building and running a robust second-line compliance and outsourcing-oversight function takes deep regulatory expertise and dedicated capacity — capacity not every organisation has in-house. Our Compliance Services insource these second-line responsibilities directly: we act as an extension of your compliance function, so oversight keeps running to the standard regulators expect.
- Second-Line Oversight — Acting as the coordinating link between business owners and compliance-adjacent functions (data protection, business continuity, IT security, operational risk), and monitoring adherence to internal policy.
- Strategy & Policy Ownership — Defining and continuously developing the underlying strategy, policies and governance framework.
- Provider & Business-Unit Governance — Reviewing how business units select, contract with and oversee external providers, and holding them to the agreed standard.
- Management Reporting — Preparing periodic and annual reports for senior management on the state of oversight and outstanding risks.
Scope note: this service provides second-line oversight capacity and expertise; ultimate regulatory responsibility remains with the client organisation.
Outsourcing Management Service
Identify. Monitor. Control.
Regulatory requirements for outsourcing arrangements — including EBA Guidelines, MaRisk and BAIT — have become one of the most demanding governance topics for banks and financial institutions. Our Outsourcing Management Service supports institutions end-to-end, from initial classification through to exit planning.
- Identification & Risk Classification — Reviewing outsourcing master data, preparing risk classifications with business owners, and maintaining the sub-outsourcing chain through to subcontractors.
- Service Provider Selection — Supporting due diligence, Know-Your-Supplier checks and conflict-of-interest reviews, coordinated with compliance, data protection, business continuity and IT security.
- Contract Review — Reviewing outsourcing contracts against regulatory requirements and maintaining contract data in the outsourcing register.
- Monitoring — Establishing SLAs and review checklists, and critically reviewing provider audit reports and certifications.
- Contingency Planning — Analysing critical process components and coordinating contingency plans with providers.
- Exit Strategy — Assessing provider criticality, preparing exit and transition plans.
- Reporting — Maintaining a complete outsourcing register and supporting audit and supervisory requests.
Scope note: this service supports the operational implementation of outsourcing-management requirements; it does not replace the institution's own regulatory responsibility.
Regulatory Services
Track. Interpret. Implement.
Regulatory change never stops — from EMIR and MiFID II/MiFIR to Dodd-Frank and UCITS. Our Regulatory Services keep organisations ahead of it: monitoring regulatory developments, translating new requirements into concrete action, and providing the tools to prove compliance.
- Regulatory Change Monitoring — Tracking relevant regulatory developments and assessing their impact on the organisation.
- Requirement Analysis — Breaking down new or amended regulation into concrete, actionable requirements.
- Control Blueprints — Developing control blueprints that translate requirements into implementable control designs.
- Gap Analysis Checklists — Providing structured gap-analysis checklists to assess current-state compliance against new requirements.
Scope note: this service provides regulatory information and implementation support; it does not constitute legal advice.