Regulatory and Compliance Transformation

At Botsford, we are trusted partners to our capital markets, asset management, and wealth management clients; we guide them on their journey through business, regulatory and compliance transformations so they can navigate the ever-evolving financial landscape with confidence.  

We understand the critical importance of compliance in today’s fluctuating markets. Staying ahead of the competition on regulatory requirements is paramount, and our team is at the forefront of these updates to ensure your firm is ready for any changes that may impact your business.  Our seasoned experts will work closely with you to assess current practices, identify areas for improvement, and design customized solutions for your needs. 

We guide you through the complexities of regulatory transformation, helping you adapt to achieve optimal efficiency, transparency and sustainable success within the capital markets arena.

  • We have extensive experience working with clients on regulatory reporting to remediate regulatory exam findings. For Fed Remediation, we successfully designed and implemented a target operating model built on three foundational pillars: Automation, 2nd Level Control, and Data Governance that closed all legacy FRB (Federal Reserve Board) exam findings within the Finance department. (Resolution planning and reporting, Reg W, Reg Y and 17a5)

  • We execute organizational readiness studies including MiFiD data requirements and gap analysis; regulatory library creation and review, functional control and attestations; OTC Trade reporting requirements: HKMA, EMIR, CFTC, SEC, OSFI, CSA, MAS, DTCC; regulatory program including: Mifid, Dodd Frank, CFTC position Limits, CFTC Re-write, Volcker, Volcker 2.0, Margin Rules, LIBOR.

  • We assist with the design and implementation of AML/CFT and sanction risk assessments that are foundational to effective compliance programs. We ensure alignment across all aspects in the development of AML/CFT compliance programs including: risk strategy and risk appetite statements, policies and procedures, job descriptions, staffing analyses, and board and management reporting.

    Our KYC solutions help clients elevate their customer experience through cost-effective, strategic and automated KYC processes that help banking clients with their due diligence in ensuring compliance with regulatory demands.

  • We conduct trade surveillance including implementation of Actimize, Trading Hub, and Nasdaq; E-Communication monitoring and surveillance solutions from email, message systems, and chat platforms (Office 365, Skype, Bloomberg, WhatsApp); Voice communication sources like RedBox, Cisco, Nice systems; and Control Room implementations of MyCompliance, StarCompliance and integrations with CRM (salesforce).

  • We safeguard and protect your data and information through innovative and integrated offerings that leverage modern digital and core technologies designed to respond to the growing cyberthreat landscape.

    We offer tech-powered business transformation in addition to app modernization and migration. We are skilled in Cloud technology solutions including: workforce, operations, and model development with vertical cloud-based implementation; risk, security, and controls; machine learning and native development; and ERP on cloud: SAP and Oracle.