Services

Regulatory Compliance

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. 

Risk Advisory Team

Colm McDonnell

Colm McDonnell

Partner | Risk Advisory

Colm is a partner in our Risk Advisory practice specialising in security risk, regulatory and control assurance and consulting assignments. Colm has been an Authorised Officer for the Central Bank of ... More

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

Partner - Regulatory Risk

Laura is a Partner in the Irish firm’s Risk and Regulation team, within the Risk Advisory Department, specialising in Governance, Risk Management, Compliance and Culture in financial services. Laura b... More