Regulation On The Rise

Compliance is Critical

In just 3 years, fines and settlements rose 45-fold, according to a recent analysis of large U.S. and E.U. banks.

Proven Success

We bring a strong track record of delivering on complex risk, compliance, and AML programs for banks, credit unions, payment processors, and securities.

With the recent surge in enforcement action, organizations need deep risk management expertise. There are few signs that a regulatory reduction is on the horizon, and institutions have substantially increased spending to mitigate issues and prevent future governmental enforcement actions.

CapTech provides data analysis, operational guidance, and technical solutions that help companies manage the complexity and soaring costs of compliance that financial, healthcare, and other industries face. Our consultants have successfully completed many complex risk, compliance, and AML projects in recent years for a myriad of clients including multiple Fortune 100 organizations.

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Our Services

Risk Data
Transformation

CapTech provides data analysis, data transformation, and data analytics that can reduce manual processes and increase efficiency.

Enforcement Action Experience

Our experienced consultants define action plans, execute remediation programs, and conduct effectiveness testing to help manage enforcement actions.

Operational
Efficiency

We can help you develop more timely alerts, model monitoring, automate and in-source manual processes, and re-engineer current state processes to mitigate compliance spending.

RegTech
Implementation

We can assess if regulatory technology is right for you and then quickly help integrate the right tools with your existing internal procedures and systems.

Project Management Office + Execution

CapTech offers PMO processes and playbooks, executive reporting (internal, board, and regulatory), and organizational change management.

Know Your Customer (KYC) Expertise

We partner with you to provide an efficient and holistic enterprise-view of the customer and design and implement customer models that deliver the KYC data you need.

Client Story

Middle Office for Top 5 Bank Resolves Consent Order Issues

One of the nation’s top 5 banks received a consent order from the United States Office of the Comptroller of the Currency (OCC) requiring them to improve their Bank Secrecy Act/Anti-Money Laundering (BSA/AML) program. As the bank began remediation of over 300,000 customers, they wanted to develop, communicate, and implement standard processes. Each of their 23 Lines of Business (LOB) had slightly different business models, systems, vendor teams, and organizational structures, which made standardization difficult. In addition, the large size of the project made internal communication a challenge. They needed to create a centralized middle office to serve as an intermediary to help solve these issues.

Read our client story

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Mike Shockey

Sr. Manager

Mike is an experienced leader in the Risk and Compliance industry, with a recent focus on leading large initiatives to assist financial institutions with the remediation of multiple Consent Orders and MRAs within their Anti-Money Laundering programs.

8 offices across the country looking for great talent

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