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Audit & Assurance

Trusted by regulators and powered by DDIQ, our approach to audit & assurance is backed by years of practical experience.

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At Exiger, we know what good looks like.

Experienced professionals that understand how financial institutions work from the inside, Exiger combines a unique understanding of regulatory requirements & industry best practices along with our data analytics capabilities.

Our practical experts use an analytics-led approach to finding potential risk, crystallized-risk and conduct risk-based sampling, accelerating their assessment of controls, weaknesses and root causes of FCC failures.

A 360 Degree View: We’ve got you Covered

With an eye on regulatory expectations and an industry-first analytics-led approach, we address gaps in program design and execution, recommending changes to maintain reliable assurance practices with strategic financial-crime programs changes in mind. 

FIRST LINE OF DEFENSE

We help teams evaluate controls, identify breakdowns, inadequate processes and unmitigated FCC risk, and devise sustainable remedial solutions.

SECOND LINE OF DEFENSE

Exiger helps second line FCC teams design and execute monitoring and testing programs from review planning, execution, reporting and issue validation.

THIRD LINE OF DEFENSE

Exiger takes all elements of risk management into account by assessing the impact to operations, reliability of reporting processes, and compliance with laws and regulations.

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Let Exiger Be Your Last Line of Defense

Powered by award-winning technology and using data analytics to efficiently, consistently and accurately assess your regulated programs, Exiger empowers its clients to introduce a more sustainable approach to risk management and evaluation.

Times Change . . . So Does Exiger.

Whether it’s meeting new regulatory requirements or reacting to the recent COVID-19 crisis, Exiger adjusts to meet your needs.

Internal Audit Functions of the Future

Exiger recently surveyed senior audit leaders at 12 banks and financial institutions:

  • 100% of firms said they had cancelled audits or adjusted scopes due to COVID-19 travel restrictions
  • 55% listed lack of remote auditing practices as a factor impacting their audits

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The People

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Mike-Roe
Michael Roe

Managing Director

Michael Roe is a Managing Director based in Exiger’s New York office, where he focuses on the firm’s regulatory and financial crime compliance matters. He has served as one of Exiger’s leaders engaged on the Monitorship of HSBC, and separately as the sanctions subject matter expert responsible for reviewing and reporting on all aspects of the sanctions compliance program of a major global financial institution. A veteran specialist in anti-money laundering (AML), Michael brings more than two decades of corporate compliance and legal experience to the Exiger team.

Pratt_Samar_2018
Samar Pratt

Managing Director

Samar Pratt is a Managing Director based in Exiger’s London office, where she is a leader in the firm’s financial crime compliance advisory practice, specialising in audit and assurance.

 

Since joining Exiger, Samar has served as the Deputy Monitor on behalf of the U.S. Department of Justice, led independent examinations for the Financial Conduct Authority and New York Federal Reserve Board, and also helped clients to strengthen their financial crime compliance controls across the three lines of defence.

Dayna-Bordin
Dayna Bordin

Managing Director |

EMEA Deputy Head, Finanical Crime Compliance

Dayna is a Managing Director and EMEA Deputy Head of Financial Crime Compliance based in Exiger’s London office, where she focuses on the firm’s financial crimes compliance and investigative operations. A specialist in anti-money laundering (AML), Dayna brings extensive corporate and criminal investigation experience to the Exiger team.

Erika-Peters
Erika Peters

Associate Managing Director

Erika Peters is an Associate Managing Director based in Exiger’s New York office, where she focuses on the firm’s financial crime compliance and assurance practices.

Banes_Dan
Daniel Banes

Managing Director

Daniel Banes is a Managing Director and APAC Regional Leader based in Exiger’s Hong Kong office, where he focuses on the firm’s financial investigations, financial crime compliance, and technology solutions.  Dan relocated from New York to Hong Kong in 2017 to expand Exiger’s APAC presence.

Quiazon_Joel
Joseph M. Quiazon

Managing Director

Joseph M. Quiazon is a Managing Director and Head of Financial Crime Compliance based in Exiger’s Hong Kong office. He has worked extensively throughout the APAC region as an executive leader with over 25 years of financial crime risk experience, having held senior leadership roles as a Managing Director with Standard Chartered Bank, as a Partner with Ernst & Young, and as the former Asia Pacific practice leader on KPMG’s Global AML Group.

Perspectives

The Role of Compliance in Protecting Our People & Communities

Evolving from a Check-the-Box Function to a Culture of Compliance

My Exiger Experience: Rishika Lama Tamang

Events

National Security Focus on the Supply Chain: Exploring the Impact of New Regulations for Detecting and Addressing Risk

Exiger's FinTech Virtual Roundtable

Perspectives

The Role of Compliance in Protecting Our People & Communities

Evolving from a Check-the-Box Function to a Culture of Compliance

My Exiger Experience: Rishika Lama Tamang

Events

National Security Focus on the Supply Chain: Exploring the Impact of New Regulations for Detecting and Addressing Risk

Exiger's FinTech Virtual Roundtable