Compliance Services for Banking Operations

Compliance Diagnostic Assessment The regulatory requirements of the banking industry are vast and complicated. Obligations and issues affecting your business must be monitored and understood continuously. Whether it is the Sarbanes-Oxley Act, a Basel demand, or Anti Money Laundering and Know Your Client provision, the onus is on the financial services institution to ensure that its processes and employees are compliant with the legal requirements of the day.

We can help by:

  • Working with your inhouse compliance team to understand areas in banking operations that need attention.
  • Developing and delivering training programmes to address special concerns.
  • Analysing processes to highlight gaps and changes required to adhere to a current or upcoming compliance requirement.


Our Banking & Compliance Expertise and Experience for your Advantage

We have a wide-ranging skillset in banking ranging from delivey of technology implemetations for operations to setting up operational risk frameworks in a growing market. For example:

  • In her role as Head of Operational Risk Management for Deutsche Bank in India, Pratibha engaged with the bank's Compliance and Group Audit teams, providing information to both the local and home-country regulator on all matters related to operational risk. This included answering regulatory questionnaires, request for information, and oversight of information flow between the stakeholders involved.
  • In her various roles across technology and risk management, Pratibha has hands-on experience in both technology implementations for cash operations and building operational risk and control frameworks to increase transparency around risk events while building resiliency in operations. This experience comes with a healthy respect not only for the sophistication of a bank's processes but also for the challenges that lie in ensuring compliance with the tough regulatory environment.
  • In order to make the core banking systems of Deutsche Bank compliant with the EMU requirements for the switch-over to the Euro currency, Wolfgang was leading a European multi-bank task force understanding legal and business requirements, comparing them with options given by the existing system architecture, and plotting a path towards converting accounts and credit lines to the new currency.
  • Wolfgang also advised financial services institutions on data protection laws and industry peer best practices with respect to collecting client data with customer relationship management systems and later utilising the information for building target marketing segments and running campaigns.

Our education spans from engineering and informatics all the way to business administration and strategic management. Please read more about us.