RISK, CONTROL & COMPLIANCE

The best way to explain what we do and the capability we have is through the work we have completed; the following case studies give some insight into our work in Risk, Control & Compliance.

Case Study: Risk, Compliance, 1LOD & 2LOD Transformation – Global Bank

Broadgate Partners was approached by our client with the requirement for a large team of resources with Programme/Project Management Office expertise in Compliance, Audit, Regulatory and Risk, including 1st and 2nd Line of Defence across business lines, to assist with a multi-year programme of transformation requirements in relation to a plea agreement reached with the U.S Department of Justice, as part of their review of their business and additionally to backfill BAU staff assigned to the Programme.

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1

Risk, Control & Compliance - Case Study

We were engaged by our client to review their trade surveillance process, monitor trading activities and implement process and technological remediation to ensure compliance with market conduct policies and regulation

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2

Front Office – Carbon Markets Strategic Operating Model - Global Bank

Our client approached Broadgate Partners with the requirement for resources to work within the Chief Operating Office, specifically in the strategy and execution project team in order set up and run a number of strategic and go-forward projects. One of these was to implement a strategic operating model for carbon markets trading.

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3

Conduct CTB Programme – PRA Trader Mandates – Global Bank

Our client requested resources with expertise in Compliance, Audit, Regulatory and Risk, including 1st and 2nd Line of Defence across business lines, to implement Trader Mandates in line with the PRA’s requirements as part of their wider conduct change the bank programme

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Meet the team

Malcolm Clark

Malcolm Clark

Director and co-owner
Malcolm has over 35 years of financial services recruitment and management consulting experience.