Enterprise & Compliance Risk Management

Enterprise and Compliance Risk Management  is a crucial function for many businesses. Without internal processes including management of internal controls, financial control and security, inspection, internal audit, and compliance, organizations may be exposed to unnecessary legal, regulatory, and reputation risk. 

The Solution

Vector Advisory offers an experienced and capable team at a price point that makes sense for small and medium-sized businesses. 

Whether you are looking to take your business public or want a more cost-effective solution for compliance testing, we actually “wrote the book” on how some of the Big 4 minimize compliance costs for clients by focusing on the “right controls.” Our enterprise and compliance risk management solutions include:

  • Enterprise & Compliance Risk Management – program, framework, policy, management reporting and procedures
  • Risk & Compliance Assurance – risk assessment, testing, and monitoring in adherence to applicable laws, rules, and regulations (e.g., Consumer, Lending, Deposit, BSA/AML, OFAC, etc.) of regulatory bodies, field exams, exam management, and co-sourcing and outsourcing solutions
  • Internal Audit – co-sourcing and outsourcing solutions for initial and sustained compliance
  • Sarbanes-Oxley 404 (“SOX -404”) – initial and sustained compliance 

Our Approach 

We offer enterprise and compliance risk management services that span from program design to sustained compliance.  We leverage proven methods, tools and templates that can be tailored to align with the size and complexity of your organization.  Our team – many of whom have Big 4 and/or extensive experience in industry leadership roles – is dedicated to providing solutions that are robust, sustainable, and proactive.  However, unlike some of the larger consultancies, we optimize our pricing for small and mid-size organizations. 

Impact Stories