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Solutions · Controllership, Risk & Compliance
Modern controllership, risk and compliance
We take your controllership from reviewing what already happened to anticipating what could happen: a proactive second line of defense, with control KPIs and continuous improvement that your team runs. In compliance, we streamline the operational work so your compliance officer can spend their time on analysis and what is critical.
Sound familiar?
When control arrives too late
Controllership finds out about problems after they've happened.
It isn't clear what each line of defense is responsible for, and Controllership and Internal Audit overlap.
There are indicators, but nobody acts on them.
The regulator or the auditors ask for evidence that takes weeks to gather.
Regulatory training (AML, BASC, pharma) takes a lot of logistics and doesn't arrive on time, not even for new hires.
Complying with FATCA and CRS means a manual, painful process to generate the XML files.
What do we solve?
Control that keeps pace with the business
Three lines of defense
Clear roles between operations, the second line and internal audit, with a second line that anticipates instead of reacting.
Operational risk with ISO 31000
Risk identification, assessment and treatment with an international framework, applied to your real operation.
Control KPIs and continuous improvement
Indicators that warn in time and a PDCA improvement cycle (plan, do, check, act) that your team maintains without us.
Compliance that is learned
Compliance e-learning for policies and procedures, and FATCA/CRS reporting as an annual service for financial institutions.
How is it left running?
A second line your team sustains
We design the control model with the people who run it, document it and leave it working with its indicators. We stay with the team on real work until the control and improvement cycle runs on its own.
- Live monitoring of risks and controls, not a static report, with preventive controls and not only controls over what already happened.
- A control KPI dashboard that management reviews and acts on.
- A controllership focused on preventing and improving: findings reports that get to the root cause.
Technology, after the process
Tools we implement in this line
Process and good practice come first; the tool comes after.
Main enabler
Cflow · Kissflow · Netoloji
Apps to report incidents and nonconformities, with traceability and an improvement cycle (PDCA) that closes in an orderly way, not by email. When processes are manual, phone apps start to standardize them and produce process KPIs and statistics transparently.
Main enabler
e-Learning Direct
Automated compliance training: annual refreshers and onboarding for new hires, certificates verifiable on blockchain and real cases simulated with virtual labs (LTI), far beyond a video or a SCORM package.
Main enabler
FATCA/CRS
Fill in your reportable information in Excel templates and our service turns the data into pre-validated XML files, split by jurisdiction and ready to upload to the regulator.
Main enabler
mindzie
Process mining is the foundation for monitoring regulatory compliance and SLAs in highly regulated transactional industries, such as financial services or service centers where missing an SLA means penalties.
Main enabler
TheDiscoveryAI
Custom AI models, with your company's data protected and connected to your ERP, CRM or core banking system. They watch patterns continuously and alert compliance or risk when there are signs of an event, before it materializes.
Supporting enabler
Appification
Custom applications that turn your particular processes into apps, combining lightweight development with AI models tuned to your case.
Technologies via e-CGS, our sister company and technology partner.
Related ideas
Keep reading
Controllership
The role of controllership in the modern organization: a strategic pillar of the second line of defense
Risk
ISO 31000: the ideal framework for operational risk management in Central American banking
Does your controllership still analyze only what has already happened?
Let's talk for 30 minutes about your second line and your compliance, and we'll tell you frankly where to start.
