Exiger has developed and executed FCC program reviews and enhancements in financial institutions of every size. Having been compliance officers in major global banks, our experienced professionals understand the specific needs of compliance programs. We execute program reviews and develop effective governance structures and business processes with the twin goals of managing regulatory expectations and optimizing compliance program effectiveness while minimizing negative impacts on business operations.

Program Review Services and Offerings

Exiger professionals bring decades of experience conducting compliance program reviews to every program review engagement. We design and execute effective program reviews against international best practices, local regulatory expectations and other considerations as required. Our systematic approach to program review design and execution means that we can deliver robust, detailed results with clear, targeted recommendations quickly and with minimal impact on program operations.

Program Design Services and Offerings

Exiger professionals deliver and execute against specific, actionable recommendations for compliance program design, including developing governance structures and business processes related to significant areas of program operations such as:

  • FCC program organizational structure, staffing and resourcing
  • Governance structures, including policies and procedures
  • Program operations and business process design
  • Compliance culture
  • KYC / EDD processes
  • Investigations procedures and escalation protocols
  • Training and communications
  • FCC risk assessments
  • Risk-based targeted policies, procedures and business processes
  • Independent testing and quality assurance processes
  • FCC systems, including transaction monitoring, sanctions screening and case management 
  • Reporting requirements

Our deep experience in managing complex compliance program operations means that our program enhancement recommendations and their implementation are designed to maximize program effectiveness while minimizing adverse business impact.

Program Review & Design Expertise

Exiger's diverse, multi-disciplinary team of compliance professionals (based in New York, London and Hong Kong) have previously directed program reviews and program enhancement initiatives in a number of the world’s largest global banks. Exiger is currently engaged in the global monitorship of HSBC, one of the largest compliance reviews ever executed, and has partnered with financial institutions and their regulators in every region to review compliance programs and develop effective compliance risk management solutions.