Case Study: Regulatory Compliance Programs for Global Banks

June 3, 2022

Kuljeet Chahal

NKC has assisted several of the world’s largest banking and financial services organisations to comply with complex regulatory requirements including global investment banks, capital markets firms, asset managers, private banks, family offices and commercial and retail banks.

Our clients need project and programme management expertise to help understand, structure and deliver effective regulatory compliance programmes in order to continue to trade specific products or to continue trading in certain markets and jurisdictions.

NKC works closely with Legal & Compliance teams to understand requirements, liaising with government bodies such as regulators, Central Banks where we have built a strong understanding and reputation for consistent delivery.

NKC helps to creates a project team to deliver a regulatory project from all relevant parts of our client’s organisation including front office business sponsors, sales and trading, investment banking, technology and operations, middle office, marketing and HR.

When the need arises, NKC can also help to augment a client’s team with other specialist consultants from our partner firms including compliance specialists, technology specialists (including development, testing, business analysis and architects), legal services firms and other business support firms where required.

NKC has helped our clients to comply with global regulations including US FATCA, Common Reporting Standard (CRS) / Automatic Exchange of Information (AEoI), SEC Dodd-Frank Security Based Swaps, Bank of England reporting, EU and US Federal Reserve reporting requirements.

In addition to regulatory compliance NKC has also assisted our clients with Anti Financial Crime programmes including Sanctions, Money Laundering, Fraud and Tax Evasion.

Contact Us to find out more about our project management consulting services that can help your business to comply with regulatory compliance and anti-financial crime.