Services — Risk & Regulatory Compliance Expertise Management

Risk & Regulatory Compliance Expertise Management

Let Enosys Strengthen Your Compliance and Risk Management

Enosys supports financial institutions in navigating complex regulatory environments with confidence.

We design and implement compliance frameworks, controls, and processes that align with evolving requirements. Our expertise spans fiduciary, investment, and operational compliance, helping clients reduce risk while maintaining operational efficiency.

Risk & Regulatory Compliance Success Stories

Explore how Enosys Group helps financial services organizations solve complex operational, reporting, and data management challenges. Our success stories showcase real-world solutions that improved reporting accuracy, streamlined processes, strengthened data integrity, and supported successful business transformations.

Large-Scale Digital Transformation Program Wealth Platform for 10,000+ Financial Advisors

Enosys led program management and governance for a large-scale digital transformation at a Top 5 U.S. Wealth Manager, delivering a modernized wealth platform to 10,000+ financial advisors across goals-based planning, investment screening, account opening, client reporting, and risk and compliance monitoring.

Risk & Controls and Operational Efficiency Assessment

Enosys led a risk, controls, and operational efficiency assessment for the wealth management operations unit of a large Canadian Bank — reviewing processes, technology, and procedures across trade support, cash management, and client reporting to identify control gaps, automation opportunities, and organizational misalignments, delivering prioritized recommendations and an implementation roadmap.

Control Assessment – 16 Middle & Back-Office Functions 80+ Recommendations

Enosys led a controls assessment across 16 middle and back-office functions for a Top 5 U.S. Wealth Manager and Discount Broker — identifying control gaps across organization, processes, and system access and security, and delivering over 80 prioritized recommendations to strengthen the firm’s operational control environment.

General Ledger Reconciliation Unit Control Assessment – Private Bank

Enosys led a control assessment for the general ledger reconciliation unit of a Top U.S. Private Bank — identifying weaknesses across process, technology, people, and policies and delivering targeted recommendations to strengthen controls, improve performance, and drive automation across the reconciliation function.

RCSA Documentation Process 96 RCSAs Across 11 Banking & Investment Operations Functions

Enosys led the RCSA documentation process for a Top U.S. Private Bank — facilitating and completing 96 risk and control self-assessments across 11 banking and investment operations functions to ensure fully compliant regulatory documentation.

Back-Office Conversion from Self-Clearing (Broadridge) to Fully Disclosed Status with Pershing

Enosys led a one-year back-office conversion program for the brokerage arm of a large regional bank — transitioning from self-clearing to fully disclosed status with Pershing across institutional DVP/RVP equity and fixed income operations, managing requirements, target state design, compliance alignment, and end-to-end testing through go-live.

Mutual Fund Breakpoint Overcharge Refund Program – $20MM to 44,000 Client Accounts

Enosys led a large-scale regulatory remediation program for a brokerage firm — designing, implementing, and managing an end-to-end refund process to address mutual fund breakpoint calculation errors. The engagement resulted in approximately $20 million in refunds accurately processed and delivered across 44,000 affected client accounts.

Daily Operations & Technology Risk Dashboard for COO – Major Housing Finance Provider

Enosys developed a custom daily operations and technology risk dashboard for the COO of a major housing finance provider — consolidating capacity management, efficiency, and risk and control metrics across operations and technology groups to enable real-time visibility and daily issue identification and resolution.

Get in Touch

For over 30 years, Enosys Consulting has helped financial institutions optimize front, middle, and back office operations. Our team works side by side with clients to modernize systems, streamline processes, and strengthen technology environments delivering measurable reductions in overhead, operating costs, and risk.

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