From compliance to competitive edge

Financial Services Risk and Regulatory

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Explore PwC’s Financial Consulting Solutions

We help financial services leaders transform risk into opportunity — reimagining risk investments to drive performance and impact the bottom line. Leveraging our industry knowledge with a tech-led approach, we help create sustainable solutions for enhancing growth and value.

Through agile processes, we prepare you for regulatory complexities and unforeseen challenges. Our team of specialists, including former executives and regulators, guides your organization to accelerate growth, using leading-edge technologies like AI and automation.

Embrace the future of your business, conquer industry disruptions and adapt to regulatory changes with PwC by your side.

How PwC can help

Capabilities

Internal Audit, SOX Readiness, Risk Assessment: Audit Planning/Execution, Risk Assessment, SOX Programs & Testing and Control Design to confirm effective risk management, governance and internal control processes are established within your institution.

Regulatory Strategy & Compliance: Regulatory Reporting/Inventory Design & Implementation, Regulatory Testing & Monitoring, Regulatory Change Management and Regulatory Response & Remediation to help you effectively and efficiently handle change and proactively manage new regulatory challenges and risks.

Operational Risk & Enterprise Risk Management: Risk & Control Self Assessment (RCSA) Design and Execution, ERM Program Development & Execution and Management Control Design & Implementation to effectively develop, identify and assess key risks and controls within your organization.

Financial Risk: Credit risk, liquidity risk and market risk solutions across all three lines of defense covering topics that include model risk management, stress testing, operating model, governance & organizational structure, policy design and process automation.

Technology & Analytics: Implementing Quantitative Risk Modeling & Analytics, Risk & Regulatory Technology Enablement and Risk Data Warehouses to enable you with products, tools and technology to help your organization mitigate risk and sustain advantage in the marketplace.

Payments: PwC’s Payments team focuses on evolving technology within the payments industry and shifts in the regulatory industry to implement faster payment systems, mitigate risk and propel growth.

Digital Assets: PwC’s Digital Assets team has deep experience in digital asset regulatory compliance and can help institutions assess existing programs, implement new processes and technology initiatives, and independently audit programs against regulatory requirements.

Regulatory Operations and Reporting Managed Services: Empower your organization to navigate regulatory standards, optimize operations, and streamline transparency reporting with our expert team. Unlock your full potential by joining forces with us. Experience the power of PwC's tech-enabled managed services platform and trusted team, driving compliance and fueling innovation.

Products

Ready Assess: Stay informed and act faster with a dynamic, data-driven risk assessment platform. Designed with real-world experience, Ready Assess streamlines assessments, making them visual, interactive, trackable and actionable.

Model Edge: Streamline model risk management and model governance with a cloud-based platform that accelerates the end-to-end model lifecycle, giving you tools, templates and test scripts to identify and manage risk more effectively.

Enterprise Control: Automate the operation and testing of controls. With PwC-powered technology and knowledge, Enterprise Control helps you manage risk and compliance costs.

Risk Detect: Identify and flag high risk activity with our digital risk detection and monitoring solution. Utilize advanced analytic algorithms and machine learning to get to key data points quickly and efficiently.

Risk Link: An all-in-one, intelligent risk management solution that seamlessly connects to your GRC and ERP systems, providing a 360-degree view of risk. Our curated repository features over 100k+ regulations, processes, risk and controls spanning privacy, ESG, and more from PwC and third parties. Read the feature in WIRED Magazine.

Alliances

At PwC, our alliance relationships offer a new equation to accelerate breakthrough outcomes. How? We tech up your strategy, innovating unique solutions that help simplify your systems and amplify your results.

These technology partners complement PwC's financial risk and regulatory services by automating reporting for regulatory compliance, offering a rich library of standardized regulatory content, and by providing an enterprise-wide GRC solution that promotes collaboration and comprehensive regulatory insights. Additionally, our network introduces cutting-edge generative and enterprise AI to enhance governance, risk, and compliance for financial institutions.

Explore PwC's full network of strategic alliances here.

Contact us

Sean Joyce

Global Cybersecurity & Privacy Leader, PwC US; Cyber, Risk & Regulatory Leader, PwC US

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Joseph Nocera

Cyber & Tech Risk Solution Leader, Cybersecurity, Risk & Regulatory, PwC US

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Vikas Agarwal

Principal, Financial Services, Cyber, Risk & Regulatory Leader, PwC US

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Dietmar Serbee

Financial Services Sector Leader, Cyber, Risk & Regulatory, PwC US

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Adam Gilbert

Global Senior Regulatory Advisor, PwC US

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