Risk Management and Regulatory Compliance
Capital and liquidity risk, along with operational, market, credit and enterprise reporting demands, continue to grow for financial services firms.
Global regulators are responding by instituting more sophisticated policies. Capital and liquidity risk, along with operational, market, credit, and enterprise reporting demands continue to grow for financial services firms. Corporate and non-financial service firms need to comply with transaction reporting and financial instrument directives.
Cost optimization and operational efficiency priorities are trending as it relates to resource allocation for risk and compliance management. Digitization of analytic processes is enabling financial, institutional and corporate clients to seek technology and advisory partners to build solutions.
Clients are engaging law firms to remediate and proactively manage enterprise and regulatory risks. Law firms require qualified domain experts to deliver on risk and regulatory compliance requirements.
Intangible assets comprise more than eighty percent of business value but are also subject to significant impairment due to enterprise and regulatory compliance risk. Ocean Tomo, the Intellectual Capital Merchant Banc® firm, provides a comprehensive set or products and services to help our clients realize their Intellectual Capital Equity™ value as well as to manage systemic risk which may threaten these same assets or their benefit for stakeholders.
The Ocean Tomo Risk and Regulatory Compliance practice offer financial services, energy & commodity, corporate clients, and law firms bespoke risk and regulatory compliance solutions.
Corporate Risk Governance Review
- Enterprise health check for board of directors
- Governance and legal entity structure review
- Corporate risk culture assessment
- Risk and regulatory compliance reporting
- Model Risk governance and management
Enterprise and Portfolio Risk Management Enhancement
- Risk appetites, limits, enterprise risk policies & procedures
- Key risk indicators, material risk inventory reporting
- Risk architecture, technology, data and analytics
- Robustness of various risk stripes (Credit, Market, Operational)
- Strategic risk advisory and climate change strategy review
Regulatory Compliance Review
- Liquidity and capital adequacy
- Transaction reporting
- Basel 3.5/4.0 and cross border regulations
- MiFID II and MiFIR
- Regulatory remediation/redress (US, UK, Europe, Asia)
Development of Risk and Financial Analytics
- Credit, market, counterparty risk metrics
- Liquidity capital measures
- Operational risk reviews and quantification
- RAROC, ROI analysis
Treasury Risk Management Services
- Cash and liquidity management
- FX, rates, commodity risk management
- Macro hedging strategy
- Procurement risk management
Out-sourced Risk & Compliance Support
We offer competitively priced assignments by deploying technically qualified talent and best in class audit compliant analytics. We have no audit or advisory conflicts. We offer fully outsourced or engagement specific valuation support.
We utilize experienced practitioners such as ex-wall street risk managers, regulatory compliance experts, ex-regulators who have hands-on and applied experience.
- Regulated Banks
- Challenger Banks, Emerging Finance
- FinTech companies
- PE investment firms
- Funds and fund managers
- Exchanges, Broker dealers
- Credit Institutions, Deposit takers
- Asset & Wealth management firms
Commodity, Energy firms
- Energy, metals, agricultural commodity trading firms, merchandisers
- Investment firms
- Producers and processors
- Power and gas utilities, marketers, retail and wholesale suppliers
- Oil and gas, refineries NGL firms
- Renewable energy firms
Frequently Asked Questions
The Ocean Tomo Risk and Regulatory Compliance practice offers Boards of Directors or the C-suite of firms a complete health check and diagnostic of their governance, risk culture, controls, and metrics. We can remediate ongoing regulatory risk issues proactively; assist with planning and horizon scanning; enhance or build risk controls, metrics, analytics, and infrastructure. We offer a competitively priced shared services model that supports fully outsourced or engagement specific risk and compliance support.
We utilize experienced practitioners such as ex-wall street risk managers, regulatory compliance experts, ex-regulators who have hands-on and applied experience. We leverage a combination of analytics and technology to assist our clients in managing their risk and compliance requirements. We build scalable risk and compliance analytics and work with cutting edge technology partners to implement suitable solutions. We have no audit or advisory conflicts.
Risk and regulatory compliance team members have within the recent past advised enterprise risk committees of banks and corporates on climate change strategies, program management plans for LIBOR transition, on estimated credit loss remediation, and model risk management.