Governance, Risk, and Compliance

Written By Brian Winters
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Through a combination of project management, staff augmentation, and proprietary tools, IM2 supports our client’s in navigating and implementing Compliance, Risk, and Regulatory programs.

IM2 works side-by-side with our clients and provides subject matter experts to deliver risk, audit, IT, data, and compliance programs. Our expert advisors include industry leaders in modeling and risk management, regulatory compliance, risk IT and data, as well as quantitative analysis.  Some of the areas we support include:

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  • Support Regulatory Reporting, Data Management and Integration

  • Risk Management and Oversight

  • Controls Review and Support

  • FINRA-registered broker-dealer Compliance

  • Basel 1/2/3

  • Dodd Frank

  • Volker

  • CCAR

  • Foreign Banking Organization (FBO)

  • Reg T

  • Reg U

  • AML

  • KYC

  • Trade Surveillance

  • Audit Support

  • Technology controls

Brian Winters
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Case: M&A Success