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ESAAlliance

Expertise · 04

Risk, Regulatory & Resilience

Compliance is not a constraint to absorb. It is a capability to build.

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01Executive summary

Executive summary

DORA, prudential requirements, KYC, cybersecurity, sustainability reporting: regulatory pressure builds faster than organisations adapt.

We build frameworks that last: clear accountabilities, proportionate controls, tested resilience and risk-based steering.

02What we solve

The situations that bring us in.

  1. 01Imminent regulatory deadlines with an incomplete framework
  2. 02Operational resilience that has not been demonstrated
  3. 03Costly and slow KYC processes
  4. 04Cyber exposure poorly understood by leadership
  5. 05Sustainability requirements without operational translation

03Where we create value

Six levers we work on.

  • 01

    Operational resilience (DORA)

  • 02

    KYC / AML compliance

  • 03

    Internal control

  • 04

    Cyber governance

  • 05

    Third-party risk

  • 06

    Sustainability reporting

04How we work

ESA Execution Framework

Every engagement follows the same four phases, each with an expected decision.

  1. 01 · Diagnose

    Establish the facts

    Decision
    Where to focus effort, and what we choose not to do.
    Deliverables
    Fact base, issue map, value hypotheses.

  2. 02 · Design

    Design the trajectory

    Decision
    Arbitrate target, sequencing and resources.
    Deliverables
    Target operating model, roadmap, business case.

  3. 03 · Deliver

    Execute and steer

    Decision
    Trade-offs on priorities, risks and escalation.
    Deliverables
    Transformation office, executive reporting, recovery plans.

  4. 04 · Embed

    Embed the value

    Decision
    Handover of accountabilities and target run model.
    Deliverables
    Skills transfer, performance routines, dashboards.

05Selected client result

What it produces.

−38 %

client onboarding time

Financial Services · Risk, Regulatory & Resilience · Europe

European Corporate & Investment Bank

Accelerating KYC onboarding without weakening risk control.

Reduce time to onboard, as expected by front-office teams, while maintaining the compliance standard.

Read the case

06Capabilities

The practice's capabilities.

Regulatory & Compliance
Impact analysis, compliance programmes, internal control and deadline steering.
Cybersecurity & Resilience
Cyber governance, business continuity and resilience testing.
Sustainability
Translating ESG requirements into processes, data and reporting.

Main industries: Financial Services · Public Sector · Energy & Utilities

07Insights

Further reading.

An issue to discuss with our Risk, Regulatory & Resilience practice?

A partner from the practice will respond directly.

Talk to a Partner

A member of our team will respond within one business day. contact@esa-alliance.com