Transformative Expertise. Tangible Results. Strategic Impact

Client Success Story: Search Engine Regulatory Risk Framework and Compliance Strategy Development.

Client: Fortune 10 Internet Services and Retailing ($2.4T, Market Cap)

Challenge:

The organization faced significant operational challenges related to regulatory compliance, operational risk, and data privacy. The primary issues included the need to streamline risk assessment processes, enhance compliance frameworks, and ensure alignment with various regulations such as GDPR, DMA, and CCPA. 

Approach:

To address these challenges, a strategic and comprehensive approach was adopted:

•  Designed and implemented global regulatory risk assessment framework
•  Led Regulatory and Technical Policy Management  efforts to enhance compliance frameworks and governance processes 
• Developed a strategy that integrated workflows, governance, and reporting

Value Delivered:

The efforts resulted in substantial value for the client, including:

• A 40% reduction in operational risk review time.
• A 60% increase in data privacy compliance coverage.
• Enhanced compliance frameworks and governance processes, ensuring regulatory alignment and proactive risk mitigation.

Capabilities Utilized:

The following capabilities were leveraged:

• Governance, Risk, and Compliance (GRC)
• Regulatory Compliance and Audit
• Data Privacy and Protection
• Operational Risk Management
• Strategy Development and Execution
• Process Optimization
• Cross-Functional Collaboration

Specialization: 

Regulatory compliance, data privacy program management, risk assessment and mitigation, policy management and governance enhancement.

Client Success Story: Led IT governance transformation for one of Japan’s largest bank—delivering full OCC compliance, cybersecurity resilience, and 80% fewer self-identified risks across critical U.S. operations.

Client: Largest Japanese Bank ($2.9T in total assets) 

Challenge: 

The organization faced significant regulatory compliance challenges under OCC consent orders, with fragmented IT governance, inadequate technology controls, and operational vulnerabilities across critical business functions. The organization needed comprehensive IT governance transformation while maintaining business continuity and achieving regulatory compliance across multiple domains. 

Strategic Approach: 

Provided executive CISO leadership and comprehensive IT governance transformation:

• Served as Chief Information Security Officer (CISO) for the Fund Services organization
• Designed and executed comprehensive IT Governance Program for U.S. Investor Services division
• Enhanced and refined over 30 technology procedures, workflows, and controls across critical domains
• Implemented robust frameworks spanning access management, cybersecurity, business continuity, disaster recovery, change management, and incident management
• Established comprehensive risk assessment protocols and third-party governance structures
• Ensured GDPR compliance integration across all technology operations
• Executed comprehensive IT Risk and Control Self-Assessments (RCSAs) to identify control deficiencies and operational risks
• Implemented systematic remediation strategies targeting OCC consent order compliance requirements

Value Delivered:

Transformed IT governance while achieving exceptional regulatory performance:

• 80% reduction in self-identified issues through proactive risk management
• Achieved full OCC consent order compliance across all assessed areas
• Established resilient compliance framework with optimized technology controls
• Enhanced regulatory alignment and operational integrity across U.S. Investor Services
• Strengthened cybersecurity posture and business continuity capabilities
• Implemented comprehensive third-party governance and GDPR compliance frameworks
• Built sustainable risk assessment and remediation processes

Capabilities Utilized: 

Deployed executive-level IT governance and security expertise:

• Chief Information Security Officer (CISO) Leadership
• IT Governance Program Design & Execution
• Risk & Control Self-Assessment (RCSA)
• Regulatory Compliance Management (OCC)
• Cybersecurity Framework Implementation
• Business Continuity & Disaster Recovery
• Access Management & Identity Governance
• Third-Party Risk Management
• GDPR Compliance Integration

Specialization:

Financial Services IT Governance & Security Leadership. Executive-level expertise in transforming IT governance for regulated financial services organizations, with deep knowledge of OCC regulatory requirements, fund services operations, and comprehensive security framework implementation in complex institutional environments.

Client Success Story: Engineered a scalable governance framework from the ground up, fortifying cybersecurity, insider trading controls, and AML compliance for a $172B asset manager.

Client: Large U.S. Hedge Fund ($172B, AUM)

Challenge: 

A large-scale asset management firm with $172B in assets under management faced mounting regulatory scrutiny and operational vulnerabilities across their back-office trading operations. The organization lacked a cohesive risk governance framework to systematically identify, assess, and mitigate operational and cybersecurity risks while maintaining SEC and FINRA compliance standards. 

Strategic Approach: 

Implemented a comprehensive risk transformation strategy:

• Designed and spearheaded an integrated Operational Risk and IT Security program from ground up
• Established sustainable governance framework incorporating industry-leading standards (NIST, ISO, COBIT, COSO)
• Conducted comprehensive Risk and Control Self-Assessments (RCSAs) across all business units
• Performed SOC 1/2 reviews and compliance audits to ensure regulatory adherence
• Implemented proactive risk monitoring and mitigation protocols
• Assessed and strengthened vendor management, insider trading controls, cybersecurity posture, and AML compliance

Value Delivered: 

Built enterprise-wide resilience while ensuring regulatory excellence:

• Established robust governance framework protecting $150B in assets under management
• Achieved full SEC and FINRA compliance across all assessed areas
• Strengthened security posture and operational resilience through industry-standard frameworks
• Implemented proactive risk identification and monitoring capabilities
• Enhanced vendor management and insider trading controls
• Fortified cybersecurity and AML compliance programs

Capabilities Utilized:

The following capabilities were leveraged:

• Operational Risk Management
• IT Security Program Design
• Regulatory Compliance (SEC/FINRA)
• Risk & Control Self-Assessment (RCSA)
• SOC 1/2 Audit Management
• Vendor Risk Management
• Cybersecurity Framework Implementation
• Anti-Money Laundering (AML) Controls

Specialization: 

Financial Services Risk & Security Architecture. Deep expertise in designing enterprise an e-scale operational risk and IT security programs for asset management firms, with specialized knowledge of SEC/FINRA regulatory requirements and industry-standard risk frameworks (NIST, ISO, COBIT, COSO). 

Client Success Story: 2nd Most Valuable Company in the World Succeeds in Cloud SOX Audit.

Client: Fortune 15 Computer Software Company ($3.8T Market Cap)

Challenge: 

Azure Cloud and Artificial Intelligence division faced complex compliance challenges across multiple regulatory domains, with internal control deficiencies impacting SOX audit readiness. The organization needed comprehensive process transformation to ensure controls functioned as designed while managing evolving Financial, Regulatory, KYC, and Privacy requirements across cloud and AI operations. 

Strategic Approach: 

 Executed a multi-stakeholder transformation initiative:

• Partnered with Senior Leadership, Audit, Engineering, Operations Finance, and Risk teams to drive cross-functional alignment
• Analyzed and optimized critical processes to ensure remediated controls aligned with SOX audit standards
• Led comprehensive technology compliance initiatives across Azure Cloud and AI operations
• Implemented proactive risk identification, prevention, detection, and remediation frameworks
• Enhanced governance routines for continuous SOX audit readiness
• Established monitoring and tracking systems for internal control findings with systematic mitigation protocols. A comprehensive investigation was conducted to get to the root of the problem. 

Value Delivered: 

 Transformed compliance operations while delivering exceptional audit performance:

• 90% remediation rate for internal control findings
• 70% reduction in control deficiencies
• Established robust governance framework across Azure Cloud and AI division
• Enhanced cross-functional collaboration between Leadership, Audit, Engineering, and Operations teams
• Strengthened Financial, Regulatory, KYC, and Privacy compliance posture
• Achieved sustained SOX audit readiness with proactive monitoring capabilities

Capabilities Utilized: 

Deployed enterprise-scale compliance transformation expertise:

• Sarbanes-Oxley (SOX) Compliance Management
• Technology Risk Assessment & Remediation
• Cross-functional Process Optimization
• Internal Controls Design & Testing
• Regulatory Compliance (Financial, KYC, Privacy)
• Governance Framework Enhancement
• Risk Identification & Mitigation
• Audit Readiness & Remediation

Specialization:  

Technology Compliance & SOX Transformation. Specialized expertise in designing and implementing comprehensive compliance frameworks for large-scale technology organizations, with deep knowledge of SOX requirements, cloud governance, AI regulatory considerations, and cross-functional process optimization in complex enterprise environments.

Client Success Story: Converted a Fortune 50’s critical exposure into a governance advantage recovering capital, restoring compliance, and embedding global fraud resilience.

Client: Fortune 50 Food and Beverage Consumer Goods Company ($203B Market Cap)

Challenge: 

The organization faced a critical corporate crisis involving widespread embezzlement and Code of Conduct violations across operations, creating significant financial exposure and reputational risk. The organization needed comprehensive investigation capabilities to uncover the full extent of fraud while implementing sustainable prevention measures to protect the company's $202 billion market capitalization and global reputation. 

Strategic Approach: 

Executed a comprehensive fraud investigation and risk transformation initiative:

• Conducted extensive investigation to identify root causes and full scope of fraudulent activities
• Performed three-year trend analysis of P&L data to identify financial anomalies and patterns
• Executed meticulous audit of supplier invoices to trace fraudulent transactions
• Conducted extensive interviews with leadership and key stakeholders across affected business units
• Implemented deep data mining initiative to uncover hidden patterns and expose fraud extent
• Developed comprehensive risk mitigation and compliance assurance strategies
• Designed global operational risk model for systematic fraud detection and prevention
• Established quarterly monitoring and governance frameworks for ongoing protection

Value Delivered: 

Transformed crisis into strategic competitive advantage through data-driven governance:

• Successfully mitigated immediate risk exposure and assured comprehensive compliance
• Recovered and preserved significant capital protecting company's financial health
• Implemented global operational risk model enabling quarterly fraud detection and prevention
• Created robust governance shield against future fraudulent activities
• Strengthened corporate governance and internal controls across global operations
• Established sustainable risk monitoring capabilities for proactive threat management
• Protected company reputation and market position through decisive crisis resolution

Capabilities Utilized: 

Deployed comprehensive fraud investigation and risk transformation expertise:

• Fraud Investigation & Forensic Analysis
• Enterprise & Financial Risk Management
• Regulatory & Operational Risk Assessment
• Risk Monitoring & Governance (COBIT Framework)
• Data Mining & Pattern Recognition
• Financial Analysis & P&L Trend Assessment
• Supplier Audit & Invoice Verification
• Global Risk Model Development

Specialization: 

Corporate Fraud Investigation & Governance Transformation. Deep expertise in conducting comprehensive fraud investigations for Fortune 50 corporations, with specialized knowledge across Accounting, Finance, IT, Operations, Treasury, Compliance, and Corporate Governance in complex global consumer products environments.

Client Success Story: 2nd Largest Digital Payment Service Provider Raises the Bar on Data Privacy. 

Client: Digital Payment Services ($65B market cap)

Challenge:

As the world's second-largest digital payment service provider, the organization required comprehensive risk assessment capabilities across its global operations to maintain operational resilience and regulatory compliance. The organization necessary enhanced risk analytics, standardized control frameworks, and improved business engagement models to effectively manage risks across its complex digital payment infrastructure, which serves millions of global users. 

Strategic Approach:

Delivered enterprise-scale risk management transformation:

• Conducted comprehensive  annual IT Risk and Control Self-Assessments (RCSAs) across core business units
• Assessed critical operational  domains, including Information Security, Infrastructure, customer-facing  applications, network management, and cybersecurity
• Evaluated threat and  vulnerability management, change management, and incident management  frameworks
• Developed enhanced risk  analytics capabilities and global risk taxonomy
• Established standardized  control mapping and data integration protocols
• Created an improved business  engagement model for cross-functional risk collaboration

Value Delivered: 

Transformed enterprise risk capabilities for global digital payment operations:

• Established a comprehensive  risk assessment framework across all core business units
• Enhanced risk analytics and  decision-making capabilities for global operations
• Created a standardized global  risk and control taxonomy and ensured consistent risk management
• Improved data mapping and  integration for real-time risk visibility
• Strengthened cybersecurity, threat management, and incident response frameworks
• Built a sustainable  business engagement model for proactive risk collaboration
• Fortified operational  resilience across customer-facing applications and infrastructure

Capabilities Utilized:

Deployed comprehensive enterprise risk transformation expertise:

• IT Risk & Control  Self-Assessment (RCSA)
• Enterprise Risk Management Strategy
• Risk Analytics & Taxonomy Development
• Information Security  Assessment
• Cybersecurity Framework Enhancement
• Threat & Vulnerability Management
• Infrastructure Risk Management
• Business Engagement Model  Design
• Global Control Mapping &  Data Integration

Specialization: 

Digital Payment & Fintech Risk Management. Specialized expertise in transforming enterprise risk management for global digital payment platforms, with deep knowledge of fintech operational risks, cybersecurity frameworks, and regulatory requirements for large-scale financial technology operations serving global consumer and merchant networks.

Client Success Story: Navigating Global Downsizing with Strategic Precision

Client: Major European Investment Bank 

Challenge: 

A major European investment bank faced a critical downsizing initiative without a strategic framework, creating significant risk of operational disruption and loss of core capabilities. The organization needed to reduce workforce while preserving essential talent and maintaining business continuity across complex financial operations. 

Strategic Approach:  

 Transformed the downsizing challenge into a strategic opportunity:

• Quantified workforce value beyond simple headcount to understand each employee's operational contributions
• Developed a custom competency scoring methodology providing data-driven talent insights
• Created comprehensive organizational assessment framework aligned with operational needs
• Designed strategic recommendations based on deep understanding of business requirements rather than balance sheet constraints
• Established ongoing resource performance monitoring framework for proactive workforce decisions
• Implemented change and transition management protocols to ensure seamless execution

Value Delivered:   

 Transformed potential crisis into strategic competitive advantage:

• Delivered best-in-class advisory framework addressing immediate downsizing needs while optimizing long-term talent strategy
• Achieved seamless transition with minimal operational disruption
• Created more resilient organizational structure through data-driven talent management
• Established ongoing performance monitoring capabilities for proactive workforce decisions
• Preserved core capabilities while achieving required cost reductions
• Built sustainable framework for future strategic workforce planning

Capabilities Utilized:

 Deployed comprehensive organizational transformation expertise:

• Organizational Assessment & Analysis
• Change & Transition Management
• Strategy Execution & Best-Practice Frameworks
• Enterprise Risk Management
• Human Capital Development & Competency Assessment
• Data-Driven Talent Management
• Performance Monitoring Framework Design

Specializations:  

Financial Services Workforce Strategy. Deep expertise in strategic workforce optimization for complex financial institutions, with specialized knowledge across Finance, IT, Governance, Internal Audit, Quality Control, and Financial Reporting functions in investment banking environments.