Regulatory Response. Integrated Compliance.
Rationalize and integrate compliance with regulations and company policies into business operations.
Pivotal Risk Advisors evaluates the business impacts of regulations and integrates processes and monitoring tools to mitigate the potential cost of regulatory investigations and non-compliance.
Our service offerings include:
- Policy Impact Mapping – Map impact points of FERC, CFTC and SEC and EU regulations and develop a road-map to integrate enhanced policies and procedures.
- Transaction Surveillance – Develop algorithms that to help proactively monitor compliance at the transaction, portfolio and company level.
Examples of some of our compliance services include:
- Regulatory Policy and Impact Analysis
- Compliance Policies and Procedures
- Compliance Integration
- Organizational Restructuring
- Regulatory Investigation Support
- Trade Surveillance Capabilities
- Position Limits
- Subject-matter Led Program Management
- Dodd-Frank Compliance
- Internal Audit Support