REGULATORY ADVISORY

Navigating regulatory demands is not a new concept; however, firms must continue to adapt to new regulatory requirements and expectations.

The global regulatory environment is constantly evolving to ensure the integrity of financial institutions and the global economy. Our team stands prepared to help clients navigate complex regulatory requirements, organizational structures and technology obstacles to deliver industry-leading and efficient regulatory solutions.

SERVICES

Anti-Financial Crime
The Anti-Financial Crime unit (AFCU) offers a full range of consulting, internal audit and validation services across a financial services firm’s BSA/AML, OFAC and fraud programs. As a full-service AFCU, DHG is here to help lead the way in the following areas: AFC operating environment current state analysis; client lifecycle on-boarding; optimizing and validating AFC models for monitoring, screening and customer risk ratings; improving governance oversight; internal and external reporting to management and regulators; enhancing training programs; and testing and validating internal controls.
Regulatory Change & Process Improvement
The dynamic regulatory landscape requires financial institutions to establish rigorous adherence programs while maintaining the flexibility to adapt and optimize.  From synthesizing regulatory feedback to introducing efficiencies and augmenting existing best practices across your regulatory organization – DHG is here to help.
Regulatory Compliance
Our experienced regulatory advisors work with clients around the globe to ensure compliance with relevant laws, regulations, policies and guidance. By leveraging past financial services compliance experience and innovative regulatory technologies, DHG will help drive efficiencies in your compliance functions.
Regulatory Reporting & Analytics
Our proven industry leaders provide guidance and implementation support for financial and non-financial regulatory reporting for broker-dealers, bank holding companies and across the capital markets industry.  DHG provides a full suite of services across the regulatory reporting lifecycle – from data origination through report remediation we are here to help on your most complex regulatory reporting challenges.
Regulatory Technology
Our advisors bring best in class strategies and methodologies to help clients automate and optimize regulatory compliance, monitoring and regulatory reporting. From assessing our client’s needs to selecting and implementing solutions, DHG’s professionals bring broad functional and technical knowledge to execute efficiently and effectively.
Featured Capability - Regulatory Data Lineage
Looking to revolutionize your regulatory data lineage process through automation or digital tools or strategically looking to consolidate or outsource the lineage process? DHG has the knowledge to help.

DHG’s Regulatory Data Lineage solution leverages leading industry tools, such as Collibra and Informatica. We deliver industry best practices, data governance and metadata management to help clients establish a common, transparent and scalable regulatory data lineage process.

DHG services are built around industry leading data lineage and regulatory reporting platforms to bring our clients best-in-class solutions.

KNOWLEDGE SHARE

Data Management Principles: Part I - Overview of Data Management

Following the 2008 financial crisis, organizations have been responding to ever-increasing regulations and guidance. As such, the influx of data requirements and expectations from regulators have driven the financial services industry to embark on a data journey: one that establishes effective da...

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FEATURED TECHNOLOGY RELATIONSHIPS

Alteryx
Blackline
Trintech
Workiva