Select Page

Governance & Regulatory Practice

ESP offers the banking and regulatory expertise essential for global institutions to implement effective compliance programs and respond to regulatory agency inquiries, examinations and enforcement.

SME Services

ESP’s team of professionals includes former senior managers from financial institutions, with the expertise to help clients resolve issues and provide insight & guidance based on firsthand, personal experience working with regulators.

We help develop forward-looking remediation response plans that exceed expectations, not only meeting regulatory requirements but also adding value to our clients’ systems and processes.

Service Capabilities

ESP help clients meet the challenges of complying with evolving regulations and avoid complications by ensuring that fundamental governance, control and risk management structures are in place and operating effectively. Our teams are experienced in most areas.

  • Risk & Compliance
    • Due Diligence
    • Governance
    • Regulation and Compliance
      • Anti-Money Laundering & Bank Secrecy Act
      • Dodd-Frank, Patriot Act, Volker Rule, etc.
      • Brexit
      • Treaties / Agreements
      • OFAC,
      • U.S. Patriot Act compliance
  • Enterprise risk management
  • Financial and operational risk
  • Information technology
    • Information Security Risk Management
    • Information Technology Support
      • Business Analysts – Experts in the regulatory space, adept at working with business users, stakeholders and technologists to define the most effective solutions.
      • Developers – ESP provides resources with skills and experience in regulatory activities, ready to assume responsibility for existing solutions and/or recommend enhancements that support our clients’ strategy and requirements
      • UAT Specialists – Our UAT teams are imbedded between Business & Technology to perform detailed testing of solutions and processes
  • Accounting & Financial Reporting