Risk & Compliance

Helping address regulatory compliance and risk

Regulation on the rise

Regulation On the Rise

Today, legislative reforms continue to lead to stricter enforcement of regulatory standards for financial institutions, insurance companies, and other organizations. With this 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.
deep knowledge and experience

Deep Knowledge + Experience

CapTech provides data analysis, technical solutions, and operational guidance that helps 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 core skills include program definition and project setup, execution and implementation, and maintaining and managing handoff. Find out more about our Risk & Compliance service offering by contacting us here.
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Risk and Compliance Offerings

Risk Data Transformation

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



Risk data transformation

Enforcement Action Experience

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

enforcement action experiences

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.

operational efficiency

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.

RegTech implementation

Project Management Office and Execution

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

project management office design and evolution

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.

know your customer expertise