Risk & Compliance

Risk Management and Compliance functions in financial institutions play a pivotal role requiring defined processes designed to identify, measure, monitor, control, and report on specific risks.  

Experience That Makes a Difference

We work with our clients to help plan, organize, design, and develop infrastructures to support governance, risk, and compliance structures. This includes reporting templates, control frameworks, responding to situations of noncompliance, and improvement of the processes regarding operational effectiveness and information systems.

Our team is comprised of former regulator(s) and industry specialists with expertise in risk management areas such as compliance, fraud, audit and internal controls, technology, process improvement and model review and validation.


Services & Expertise

  • Regulatory risk management
  • Operational risk management
  • Enterprise risk management
  • Financial investigations
  • Fraud risk management
  • Compliance
  • Audit and internal controls


Our reputation is built on the intelligence, integrity, and capability of our team of industry experts. Alacer delivers effective solutions to meet your needs with global-quality standards of excellence.
Alacer helps business leaders accelerate performance, increase quality, maximize productivity, and optimize profitability. Drawing on our vast C-level experience, we form real-world solutions that identify, create, develop, and implement opportunities for success. We don’t waste time on theoretical exercises—instead, we roll up our sleeves and get to work.

Practice Leaders

The Alacer Approach

Alacer’s risk and compliance framework takes into consideration several components including the following: 

Internal Operating Environment  

  • Board and senior management oversight (i.e., tone at the top)
  • Board and senior management risk appetite
  • Relationship with regulators
  • Risk management and control functions (three lines of defense)

Governance and Oversight Structure  

  • Board and senior management committee structures and effectiveness
  • Policies and procedures
  • Role, responsibilities, organizational structure, and independence
  • Accuracy, adequacy, and completeness of reporting to support governance and oversight

Risk Management

  • Risk identification, measurement, monitoring, and reporting (including capital adequacy [CCAR] and stress testing)
  • Risk control and mitigation strategies

Control Functions, (Audit, Compliance Monitoring and Testing, and Model Validation)

  • Risk assessment
  • Planning, scoping, and reporting
  • Issue management (identification, prioritization and timely resolution)
  • Resource allocation
  • Independence and objectivity