Finance, Risk and Compliance

Regulators demand compliance. Banks need competitive advantage. Our FRC strategies, operational experience and RegTech expertise overcome complexity to deliver both.


Financial crime

Fighting financial crime is a matter of compliance. Stringent regulations applied to anti-money laundering efforts, sanctions, fraud, cybersecurity and anti-bribery and corruption policies have caused financial institutions to invest heavily in infrastructure to ensure minimized risk.

In response, Capco has built strong financial crime capability across target operating model, program management and implementation. We have a proven record of delivering successful multiyear programs to prevent and combat financial crime.

Regulatory reporting

For financial institutions, identifying risk exposure is a clear obligation, extending to every asset class. The resulting evaluation requirement is broad, intense and continuous. Satisfying the regulators requires a robust solution based on solid technical knowledge and informed by an end-to-end view of the process.

Capco has a strong reputation for addressing banks’ regulatory reporting needs. Our experienced teams offer full support in creating a reliable environment for producing, utilizing and managing regulatory reporting.

Finance and risk convergence

The scale and intensity of regulatory change have necessitated a major shift in how institutions approach compliance.

Capco offers financial institutions insight and expertise in regulatory compliance and risk management. We understand that meeting reporting rules such as CCAR and DFAST requires a comprehensive focus on data. We combine this focus with the application of specialized tools and methodologies deployed by our dedicated team of financial services subject matter experts.

Retirement DOL

The Department of Labor’s (DOL) proposed Fiduciary Rule potentially rewrites the DNA of investment firms and wealth managers. The DOL’s view is that currently, advisors push their customers to products that will yield the highest level of compensation for the advisor, rather than meet the customers’ best interests.

Capco’s method for dealing with this profound shift includes determining the firm’s strategic response, assessing the operating model impact and managing change and implementation.

Data management layer rollout dramatically simplifies data feeds

Success stories

Data management layer rollout dramatically simplifies data feeds

Capco’s FRC team executes strategy for transitioning data feeds to the new technology through the roll-out of a standardized DML (data management layer).
The Trump effect on financial regulation

Capco Thoughts

The Trump effect on financial regulation

How can banks prepare in the face of uncertainty?
Digital Risk Management

Capco Thoughts

Digital Risk Management

How secure is your digital wealth operating model?
Heading for full regulatory maturity

Capco Thoughts

Heading for full regulatory maturity

$300 billion in bank fines since 2010. How can Regulatory Maturity help achieve cost effective compliance and cut bank fines?

People in Finance Risk and Compliance

Michael Bertran

Michael Bertran

Capco Partner
Kim Sgarlata

Kim Sgarlata

Capco Partner
James Arnett

James Arnett

Capco Partner