Intelligent Glue: Intelligent Automation

Private Banking & Wealth Management | Regulatory Compliance

Regulatory compliance is an important area for all our PBWM clients and we advise on how these changes affect processes. From on-boarding with KYC, AML, PEP and ID Verification, through to determining how regulation can be applied through automation, improving efficiency whilst retaining an excellent client experience. Implementation of regulatory change can be significant; our experts help to understand how best to sponsor these projects and provide knowledgeable resources to deliver successful change.

Keeping ahead of these changes can be both challenging and complex, with the costs being substantial. Regulators impose severe penalties for non-compliance and financial service organisations are facing an unpredictable landscape of sanctions and restrictions, both jurisdictional and personal.

We help our clients formulate strategic approaches and demonstrate measurable progress. With agile methodologies, we mitigate risk and maximise efficiency, effectiveness and improving financial returns, whilst reducing mid to long term costs through a scalable tech landscape.

We specialise in a range of AML Services that include systems implementation and integration, model tuning, screening, and monitoring.

  • Process Automation using AI and ML
  • Tuning and optimisation reducing false positives and enhancing efficiency
  • OCC 2011-12, OSFI E-23, DFS Part 504 Compliance, model management
  • Testing and remediation
  • AML/Sanction program design, system implementation and Risk Assessment
  • AML/CFT and Sanction System Selection, Implementation and Utilisation

Know Your Customer, Customer & Enhanced Due Diligence

Our expert team understands the tactical and strategic challenges facing PBWM with managing client due diligence, especially in the change to digitisation. From onboarding to off-boarding, we provide everything required for end-to-end solutions and processes to help our clients mitigate financial crime. We do this by leveraging technology to automate and reduce manual effort, making processes efficient and seamless for clients.

Model Management Lifecycle

Our in-depth knowledge of financial services data, especially concerning regulatory obligations, benefits our clients, especially when implementing models across multiple fiscal domains and business lines.

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