CIMA Financial Regulation Consultants
Who We Are
We are a Financial Services Regulation Consulting firm focused on providing risk management, compliance and regulatory risk guidance services to banks, broker/dealers, registered investment advisors, investment companies and capital markets intermediaries whether domestic or international.
We bring hands on experience from having spent over 20 years in business risk and independent compliance roles (i.e. first and second line of defense) at major financial institutions. Our unique experience in process development, oversight strategies and risk management framework give us the ability to address the challenges that today’s regulatory environment presents and provide customized, sustainable solutions to our clients.
In addition, our extensive experience with international markets allows us to help you tackle the most complex challenges in a global domain.
Why CIMA FRC
Because we have over 20 years of experience in the financial services industry, with focus on bank, broker/dealer and investment advisor oversight, supervision, and regulatory landscape. At CIMA FRC we have:
Experience in managing complex regulatory projects, including procedures development, remediations, regulatory actions, rule implementation, risk mitigation practices and talent development
Over 20 years of experience with international markets, including managing compliance programs for offshore brokerage and investment advisory businesses, implementing controls around offshore businesses and development of sound business structures for successful international franchises
Extensive experience with developing best-in-class Supervisory Oversight, Governance and Enterprise Risk Management framework
Extensive experience in successfully managing reviews, whether internal, external or regulatory, including performing regulatory mock exams to assess readiness for regulatory exams
Extensive experience in developing Anti-money Laundering strategies for international business, including implementation of policies and procedures, know your customer and due diligence protocols and sanctions monitoring programs.
Client Centric Approach
At CIMA FRC, we approach each client relationship as an investment in your business. Our unique experience gives us the ability to offer our clients practical solutions and alternatives that are adaptable to your business model in a cost efficient manner.
We offer Transparency of Services by establishing a project management cadence which clearly defines escalation to management, progress metrics, traction reporting and end of state reporting. And focus on delivering best-in-class results in a timely manner while being mindful of the costs associated with our work.
At CIMA, we have the ability to take on any challenge, task or remediation; no matter the size or scope, we will provide a value to your organization.
Our experience and our core competencies, allow us to implement strategies and solutions which have proven to be successful,
whether they are for Enterprise Risk Management, Supervision, Compliance or Business Development.
