Unique Advisory Services and Expertise
Here are some case studies outlining how we have put our experience, expertise, and technology to work for financial institutions, insurance firms, asset managers, digital asset firms, and FinTech clients.
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Credit Risk Management
Credit Risk Management
Credit Risk Management
Our team of experts assisted a foreign banking organization develop a clear and concise plan for deploying a regional credit underwriting team. Successfully implemented advanced credit risk models (PD, LGD, EAD) coupled with Tableau's interactive visualization for our client.
AML Program Review
Credit Risk Management
Credit Risk Management
Our team conducted a comprehensive, independent AML Program review of a covered financial institution's compliance with NYS Title 23 200 and NYS DFS Rule 504.
Governance
Credit Risk Management
Risk Assessment
Our team provide a foreign banking institution with customized operations management solution that streamlined staffing, enhanced internal control processes and improved efficiency by 35%.
Risk Assessment
Model Validation SR 11-7
Risk Assessment
Our team provided in-depth knowledge of risk assessments to assist a foreign banking organization enhance its' understanding of material risks faced and how they mitigate inherent risks across the business lines with internal controls.
Model Validation SR 11-7
Model Validation SR 11-7
Model Validation SR 11-7
Thorough testing and data analysis by our team revealed discrepancies and missing information in the client's transaction monitoring system. Identified overlapping alert scenarios, suggesting potential inefficiencies. Recommended system adjustments and the removal of scenarios to improve the efficiency of the client's AML systems.
Digital Risk Roadmap
Model Validation SR 11-7
Model Validation SR 11-7
The client wanted to implement a digital initiative that would provide a seamless integration between digital and human touch points. Our team performed a risk assessment and developed risk action plans to enhance the customer experience. We created an implementation blueprint along with key risk factors and key internal controls.
Environmental Social Governance
Cyber Security Program Review NYDFS Rule 500
Environmental Social Governance
The client wanted to implement a holistic climate change program for its banking business. A prioritized road map of sustainable finance initiatives was developed along with the key performance indicators (KPIs), data requirements, and reporting frameworks that will be used to measure and communicate results.
Liquidity Management
Cyber Security Program Review NYDFS Rule 500
Environmental Social Governance
The client recognized the need to align their liquidity management with regulation. They engaged NextAML to align the liquidity management program with regulations, improve funding efficiency and effectiveness, and strengthen measurement and monitoring.
Cyber Security Program Review NYDFS Rule 500
Cyber Security Program Review NYDFS Rule 500
Cyber Security Program Review NYDFS Rule 500
The client recognized the need to assess the state of their cyber security program for compliance with NYS DFS Rule 500 and the NIST framework. Our team developed a prioritized roadmap and action plan to resolve and mitigate all deficiencies.
Regulatory Technology
Regulatory Technology
Cyber Security Program Review NYDFS Rule 500
The client recognized the need to demonstrate cross border regulatory compliance, traceability of policies, processes and controls. The RegTech solution our team provided standardized policy and control management, implementation and distribution of controls, compliance activity tracking, and significantly reduced breaches.