Legal and compliance

In today’s environment of increased regulatory scrutiny, the Regulatory Compliance function within large banks has become integral to the business.

All banks face common challenges. For example, how do you:

  • Meet stringent, constantly changing regulatory requirements while controlling costs?
  • Ensure that your regulatory reporting is efficient and accurate?
  • Ensure that your transaction surveillance systems are sufficient and comply with the regulations in the jurisdictions that you operate?
  • Manage and mitigate compliance risk?

How we can help

Rule Financial can help you meet complex regulatory compliance challenges. We have a wealth of experience in helping banks implement compliance processes and systems. Our consultants can help you to achieve a consolidated view of your global business thereby enabling you to ensure compliance and minimise risk. We can:

  • Help improve your regulatory reporting compliance and efficiency across multiple entities
  • Translate policies and procedures into efficient technical solutions
  • Improve trade surveillance processes and systems to encompass all trading activity with reasonable alert levels
  • Implement systems and procedures to increase operational efficiency and reduce costs

Why choose Rule Financial?

A partnership with Rule Financial can accelerate the delivery of your regulatory compliance requirements. Our specialists offer you the reassurance and advice that will ensure all legal requirements are covered, and nothing is left to chance. With emerging technologies able to scrutinise even larger data-sets, surveillance of all transactions to ensure compliance can become a reality. Examples of recent Regulatory Compliance assignments include:

  • Development of a best practice approach to ensure cost-effective trade surveillance and regulatory compliance for a tier 1 bank
  • The design, build and implementation of a solution to manage data and document flow for OTC contracts for a tier 1 bank
  • The translation of new legal policies across multiple jurisdictions into an efficient and workable technical system for a tier 1 bank

To find out how you can achieve more in Legal and Compliance, click here to contact our specialists

 
 

Featured services

Featured specialists

Chris DeBrusk

Specialist in Risk and Compliance
Chris DeBrusk

Simon Romp

Specialist in Information Security & Service Management
Simon Romp
 
Related blog posts
Related case studies