Capabilities /

Finance, risk and compliance

Finance, Risk & Compliance are a team of more than 60 dedicated subject matter experts focused on helping our clients with complex advisory, design and delivery across four main areas: CFO Advisory, Financial Crime, Regulatory Compliance and Risk Advisory. We support clients across the globe and in a wide variety of industries. We are an award-winning team who regularly provide thought leadership at industry and regulatory events as well as ‘rolling our sleeves up’ to implement solutions for clients. Start a conversation with us today to see how we can deliver value for your organisation.

FIND OUT ABOUT OUR WORK

Helping a large insurer strengthen operational resilience to meet regulatory demands

The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) recently introduced strict rules on operational resilience. One particular large general insurer approached us to interpret the rules, turn them into practical business requirements and implement the changes – all within constrained resources. The company had to overcome these challenges and comply by the deadline, or risk facing action by the regulators.

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Using regulatory change as an opportunity to strengthen and rationalise internal controls

As UK regulators plan an Internal Controls and Governance directive, similar to the US Sarbanes-Oxley section 404 rules, this major insurer seized the opportunity to achieve its long-term ambition: creating a single library for its financial and non-financial controls spanning more than 200 core processes. This would significantly improve the company’s risk and control environment, while preparing for the new regulations. To achieve its goal, the insurer needed a new control framework and a new library.

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Building climate risk into every bit of a bank’s business

How does a major bank prove to the regulators that it’s serious about climate change?

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Cutting a global insurer’s supplier onboarding time by 50%

What motivates stakeholders to fix a complex process that they’ve tried to fix before?

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Helping a global investment bank team to identify risks

How do we train a global team when travel is impossible?

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KEEP ONE STEP AHEAD

Sharing our thinking with you

OUR THINKING

UK SOx: Internal Controls – What can you do to prepare?

OUR THINKING

How to embed an enduring approach to Climate Risk and Stress Testing

OUR THINKING

ECB Climate Change Stress Test: Six key learnings for financial institutions

Financial crime

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OUR WORK

Client Money and Assets (CASS)

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OUR THINKING

Consumer Duty

OUR THINKING

Financial Services: Navigating your path to Net Zero opportunities

OUR THINKING

Re-frame Resilience

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MEET MEMBERS OF THE TEAM

Guy Munton

Partner, expert in regulatory compliance, CASS, operational resilience and conduct

Richard Elliot-Cooke

Financial Crime Compliance

"Financial crime compliance has become too costly for larger organisations, who've outdated and inefficient controls, and too arduous for smaller organisations, who've started to receive greater regulatory scrutiny. Business lines must take greater ownership to drive innovation and improve efficiency."

Salina Ladha

Regulatory Compliance expert

"Following a spate of fines in recent years, regulators are now looking to firms to be proactive in how they manage conduct risk. Firms need to look at their conduct risk framework holistically and embed conduct risk management into BAU, including into the performance management process, to enable them to incentivise and reward good conduct."

Stuart Cook

Partner, Finance, Risk and Compliance Lead

Mandeep Gill

Partner, CFO Advisory

Clémence Vandewalle

Climate Risk expert

Cindra Maharaj

Partner, FS US and Treasury Lead, US

"Within the financial services landscape, firms are increasing their focus on growing their businesses while simultaneously continuing to streamline their efforts to protect their businesses from the existing and new risks. I am excited about bringing innovative advisory solutions and new technologies to help firms manage this ‘new normal'."

Focus on your sector

Regulatory compliance

Our knowledge of the regulatory landscape helps us support the design and delivery of compliant change. We assist with the optimisation of BAU operating environments, including conduct and RegTech solutions. We also tackle regulatory weaknesses by defining and executing a pragmatic approach to redress.

Risk advisory

Our experts are adept at identifying financial risk. We measure, monitor and manage financial risk, delivering innovative, bespoke solutions and have previously assisted clients to respond to regulatory change (e.g. FRTB, IFRS9, BCBS239), implement robust governance and refine risk methodologies.

CFO Advisory

Our combination of finance, consulting and industry experience, coupled with an independent-by-design advisory approach sees us work with our clients' most challenging problems across Business Integration, Business Performance and Climate & Sustainability.

Financial crime

We assist firms in understanding their financial crime risk exposure and design and implement operating models to effectively manage financial crime risk. We also ensure technology and operations are optimised to improve the quality and efficiency of controls.

Would you like to work with us or find out more?Get in touch

Featured

Baringa becomes a Certified B Corporation®

We’ve become a certified BCorp, meaning we’ve been independently verified as meeting high standards of social and environmental performance, transparency, and accountability.

Redefine business success

Featured

Baringa becomes a Certified B Corporation®

We’ve become a certified BCorp, meaning we’ve been independently verified as meeting high standards of social and environmental performance, transparency, and accountability.

Redefine business success