consulting

“To improve is to change, to be perfect is to change often.” – Winston Churchill 

What we do

We work with senior leaders of banks, asset managers, insurers, and other financial institutions to help them shape and deliver solutions across AI governance, compliance, governance, risk, regulatory operations, data and technology.


Using web-based and face-to-face consulting, with agreed periodic on-site visits by our experienced consultants, we provide clients with practical advice on regulatory and governance issues, including AI and emerging technology, risk and compliance requirements, data governance and regulatory developments.


We provide regulatory and AI governance training as required, covering compliance frameworks, regulatory obligations, responsible AI, governance standards, risk management and organisational readiness. We also support clients in managing regulatory developments and changes as they impact their firm.



We have experience in providing effective interim cover for senior leadership roles, and are able to bridge urgent gaps and hit the ground running, quickly assessing and addressing regulatory, governance, risk and AI-related issues to provide a seamless transition and support for teams.

Our Expertise

 AI Governance, Data Governance &

 Responsible AI

Our consulting team provides an ongoing support service that is customised to your firm’s needs. We are experienced in helping firms to meet their requirements by installing a framework and governance structure that covers all of the firm’s obligations 

AI Governance, Responsible AI and Data Governance

We support financial institutions in developing practical AI governance frameworks that enable safe, responsible and effective adoption of AI and GenAI. We advise on governance, accountability, human oversight, fairness, transparency, model and data risk, and AI usage monitoring, aligning approaches with emerging regulation and recognised standards including the EU AI Act, ISO/IEC 42001 and NIST AI Risk Management Framework. We also provide AI governance training and support organisations in building AI literacy and regulatory readiness..



We help organisations strengthen the governance, quality, lineage and control of critical business and transaction data, supporting regulatory reporting, financial crime and compliance requirements. We work with businesses to establish clear data ownership, standards and controls that improve data integrity, transparency and audit readiness.

Governance, Risk and Control

We assist organisations in establishing effective governance, risk and control frameworks aligned with their regulatory obligations and organisational design. This includes SMCR governance, risk oversight, accountability, roles and responsibilities, control frameworks and management information, helping firms demonstrate that governance arrangements operate effectively and are capable of withstanding regulatory scrutiny.

Regulatory Interpretation and Change

We support clients with the interpretation and implementation of local and global regulation, helping them understand how regulatory developments and changes impact their business, operating model, technology and controls. We provide practical advice on regulatory change, remediation and implementation, supported by horizon scanning, regulatory briefings and training where required.

Financial Crime, Compliance & Regulatory Advisory 

We provide advice to CEOs, COOs and senior leaders on the implementation of financial crime, compliance and regulatory policies, including AML, KYC, sanctions, transaction monitoring and client data governance. We also provide compliance monitoring and regulatory support across UK FCA requirements, including MiFID II, EMIR, SFTR, MAD/MAR, LIBOR and other regulatory obligations. Our experienced consultants provide practical advice on operational compliance issues and the regulatory implications of business and policy changes.

Regulatory Transformation, Transition Management & Interim Leadership

We provide experienced leadership and advisory support for complex regulatory transformation, remediation and change programmes, including interim cover for senior leadership roles. We bridge urgent capability gaps, quickly assess and address critical issues, and provide the governance, structure and expertise needed to support successful delivery.

Policy, Process, Automation and Training  

We review, refine and develop processes and procedures required to ensure your business teams can carry out obligations effectively. We also provide you with operational  support including training and instruction on the new and existing processes within the regulatory and governance framework at your firm.  Our operational support is focused on ensuring that robust controls are maintained and enabling maximised operational efficiency across key pillars of people, process and automation via technology.

Financial Crime Compliance,  Regulatory Advisory, Controls and implementation 

We are able to deploy a uniquely experienced team who have worked together extensively, to deliver against your mandate. The seamless interplay and understanding of how to leverage our skill sets between our regulatory, operations and change management expertise, along with client relationship and leadership skills, is unique. 

“We cannot solve our problems with the same thinking we used when we created them.” – Albert Einstein

Transformation management 

Our team will provide immediate, highly skilled interim change management cover for all regulatory projects, to support our clients.

Business optimisation and transformation 

We provide support to you in driving, shaping and managing the delivery of critical change programmes, to achieve key strategic objectives, operational optimisation and efficiency.  

Remediation implementation 

We provide you with help to develop and manage action plans designed to achieve your remediation objectives across operations. This ensure you can demonstrate compliance with your regulatory objectives. 

Technology implementation 

We help you direct institutional change within your business through implementing new innovative market leading technology solutions. We also provide transition management to integrate new technology enhancements into your existing platforms and infrastructure.  
By applying the latest data mining technology, bench marking, peer analysis and management information, we help you understand your competitive landscape and improve your revenue. 

Regulatory areas

  • REGULATORY AREAS
    • AIFMD / PRIIPS KID
    • AML / KYC
    • Basel II
    • Brexit Transition
    • CRD IV
    • Dodd Frank
    • EMIR
    • ESG 
    • FSCS
    • GDPR
    • Governance
    • LIBOR
    • MiFID II 
    • SFTR
    • SMCR
    • Structural Reform
    • Sustainable Finance
    • Transaction Reporting

Products we cover

  • PRODUCT VIEW
    • Capital Issuance
    • Collateral / Margin
    • Debt Capital Markets
    • Equity 
    • Exchange Traded Derivatives (ETD)
    • Fixed Income  
    • Foreign Exchange
    • Global Securities Services
    • Mergers and Acquisitions
    • Money Markets
    • Over the Counter Derivatives (OTC)
    • Pension Funds
    • Prime Services 
    • Securities Financing
    • Structured Finance
    • UCITS 

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