Financial Services Risk and Regulatory

Explore PwC’s financial consulting solutions

At PwC, we help our financial services clients transform risk management and reimagine investments in risk solutions to unlock opportunities that impact the bottom line. Leveraging our industry knowledge with a tech-driven approach, we help create sustainable solutions for ensuring growth and value.

Through agile processes, we prepare you for regulatory complexities and unforeseen challenges.Our team of experts, including former executives and regulators, guides your organization to accelerate growth, utilizing cutting-edge technologies like generative AI and automation.

Embrace the future of your business, conquer industry disruptions, and adapt to regulatory changes with PwC by your side.

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Chartis Research once again names PwC as a top risk and compliance technology provider.
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How PwC can help

Capabilities

Internal Audit, SOX Readiness, Risk Assessment: Audit Planning/Execution, Risk Assessment, SOX Programs & Testing and Control Design to confirm effective risk management, governance and internal control processes are established within your institution.

Regulatory Strategy & Compliance: Regulatory Reporting/Inventory Design & Implementation, Regulatory Testing & Monitoring, Regulatory Change Management and Regulatory Response & Remediation to help you effectively and efficiently handle change and proactively manage new regulatory challenges and risks.

Operational Risk & Enterprise Risk Management: Risk & Control Self Assessment (RCSA) Design and Execution, ERM Program Development & Execution and Management Control Design & Implementation to effectively develop, identify and assess key risks and controls within your organization.

Financial Risk: Credit risk, liquidity risk and market risk solutions across all three lines of defense covering topics that include model risk management, stress testing, operating model, governance & organizational structure, policy design and process automation.

Technology & Analytics: Implementing Quantitative Risk Modeling & Analytics, Risk & Regulatory Technology Enablement and Risk Data Warehouses to enable you with products, tools and technology to help your organization mitigate risk and sustain advantage in the marketplace.

Payments: PwC’s Payments team focuses on evolving technology within the payments industry and shifts in the regulatory industry to implement faster payment systems, mitigate risk and propel growth.

Digital Assets: PwC’s Digital Assets team has deep experience in digital asset regulatory compliance and can help institutions assess existing programs, implement new processes and technology initiatives, and independently audit programs against regulatory requirements.

Regulatory Operations and Reporting Managed Services: Empower your organization to navigate regulatory standards, optimize operations, and streamline transparency reporting with our expert team. Unlock your full potential by joining forces with us. Experience the power of PwC's tech-enabled managed services platform and trusted team, driving compliance and fueling innovation.

Industry Sectors

PwC's bank regulatory compliance team is well qualified to assist banking companies in addressing these challenges and staying abreast of changing regulatory requirements, expectations and industry practices.

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Recent financial services regulatory publications

Contact us

Sean Joyce

Global Cybersecurity & Privacy Leader, PwC US; Cyber, Risk & Regulatory Leader, PwC US

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Joseph Nocera

Cyber & Tech Risk Solution Leader, Cybersecurity, Risk & Regulatory, PwC US

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Vikas Agarwal

Principal, Financial Services, Cyber, Risk & Regulatory Leader, PwC US

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Dietmar Serbee

Financial Services Sector Leader, Cyber, Risk & Regulatory, PwC US

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Adam Gilbert

Global Senior Regulatory Advisor, PwC US

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