Who We Work With

Community and Regional Banks

Banks operating under OCC, Federal Reserve, or state supervisory frameworks navigating MRA remediation, RCSA program builds, model risk governance upgrades, or exam preparation. Typical triggers include a recent examination finding, a planned product or channel expansion, or a board mandate to strengthen the enterprise risk program.

Capital Markets and FCMs 

Broker-dealers, futures commission merchants, swap dealers, and derivatives intermediaries managing operational risk, third-party risk, and governance obligations under CFTC and NFA oversight. Engagements frequently arise from new product launches, clearing relationship changes, or supervisory focus on operational resilience in trading, clearing, and settlement functions.

Commodity Trading Organizations 

Physical and financial commodity trading firms navigating operational risk governance, third-party dependencies, and the governance implications of AI-assisted trading and pricing systems under evolving expectations.

Fintechs and Emerging Financial Services Firms

Fintech firms scaling regulated products and platforms where risk frameworks, compliance infrastructure, and governance structures have not kept pace with operational or regulatory complexity. Common contexts include pre-examination readiness, bank partnership due diligence requirements, or preparation for a licensing application.