Complementary Regulatory Compliance Services

Services

Complementary Regulatory Compliance Services

The Risk and Regulatory Consulting team have extensive experience across a broad spectrum of Regulatory Compliance activities, including Prudential and Conduct-specific areas.

The Risk and Regulatory Consulting team have extensive experience across a broad spectrum of Regulatory Compliance activities, including Prudential and Conduct-specific areas. Complementary services offered by the team include the following:

Authorisations

  • Exploratory and preparatory services in relation to authorisations for financial services providers, including branches and subsidiaries of European and third country institutions.
  • Authorisation application support and assessment.
  • Competent Authority/Regulatory Body interaction support.

On-Call Advisory

  •  Advice and guidance on regulation, risk and compliance areas from experienced subject matter experts.

Process Improvements

  • Process review; challenge and assessment versus regulatory requirements and guidance.
  • Enhancement of processes across key risk and compliance areas.
  • Framework, policy and procedure development and review.

Project Management

  • Provision of managers and other resources to lead or support regulatory and compliance related projects, including remediation activities.

Quality Assurance Reviews

  • Monitoring, assessment and challenge of regulatory, risk and compliance activities, reporting and regulatory submissions.

Regulatory Gap Analyses

  • Assessment of practices, processes and documentation with regulations, including European Supervisory Authority guidelines and technical standards.

Regulatory Inspection Support

  • Pre-inspection support including mock interviews and tailored training programmes.
  • Onsite inspection project management support and advisory.

Secondments

  • Provision of experienced staff for short and long term secondments to risk and compliance functions.

Skilled Persons Reports

  • Execution of skilled person reports as required by regulatory authorities in relation to risk diagnosis, prevention or remediation.

Training Activities

  • Provision of comprehensive individual, team, function or firm-wide training across a broad spectrum of regulation and compliance areas including AML, Financial Crime, ICAAP & ILAAP, Consumer Protection, MIFID and Recovery & Resolution Planning. 

Meet the Team

Sean Smith

Sean Smith

Partner - Regulatory Risk

Sean is a partner in the Risk Advisory department of Deloitte where he provides risk, compliance and regulatory advisory services to financial and non-financial institutions. Sean has over 18 years’ f... More

Laura Wadding

Laura Wadding

Director - Regulatory Risk

Laura has 20 years’ experience in financial services.  Prior to joining Deloitte, Laura worked with a large fund administrator for almost 11 years, during which time she managed two functional areas, ... More

Meet the Team

Rose-Marie Kennedy

Rose-Marie Kennedy

Senior Manager - Regulatory Risk

Rose-Marie specialises in Irish and European financial services regulation. She advises a wide range of both domestic and international financial institutions. She specialises in the provision of advi... More

Niall O'Farrell

Niall O'Farrell

Senior Manager - Risk and Regulatory Consulting

Niall is an experienced Senior Manager within the Risk Advisory department of Deloitte, delivering regulatory advisory, risk management, and internal audit services to clients. Niall focuses predomina... More