Capital Markets / Investment Banking
Capital markets are a diverse ecosystem, populated by a variety of players, such as investment banks, broker-dealers, equity and derivatives traders and exchanges, to disruptor startups.
![Corporate Banking](https://www.plenitudeconsulting.com/hubfs/Corporate%20Banking.jpg)
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A deep understanding of clients’ needs, and the speed and reliability of services and transactions, are at the core of the sector’s business model.
The increasingly higher threshold for compliance expected by regulators can cause friction in these firms’ daily operations, especially when dealing with multi-jurisdictional transactions and vast amounts of data. Whether your firm specialises in security trading, money market instruments or financial derivatives, the transnational nature of capital markets can expose firms to a variety of money laundering risks, including:
- Market abuse
- Money laundering, at the integration and layering stages, e.g:
- Mirror trading
- Offsetting trading - Sanctions risks, especially through:
- unexplainably complex transactions
- companies with opaque ownership structure
Heads of Financial Crime Compliance are at risk of being overwhelmed by tougher demands from regulators. Not only do they have to navigate the complex regulatory frameworks, unique to each jurisdiction, but they must also anticipate and plan for future changes to laws and regulations. In many instances, the cost of the remediation activity far outweighs the cost of the fine, due to the imposition of accelerated timeframes for correcting prior compliance gaps, which require significant internal and external resource requirements.
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Our capital markets / investment banking experience
Plenitude has an established track record in assisting clients in the capital market sector to proactively assess the effectiveness of their existing Financial Crime Compliance (FCC) framework, systems and controls, and implementing the required enhancements as part of S166 review or independent assessment, to mitigate the risks highlighted above. We also have supported multiple firms post regulatory review, to advise on the response plan and support the successful implementation of the required enhancements as part of a remediation or transformation programme, including large-scale KYC remediation as part of our Managed Service offering.
We have worked with a variety of institutions in the sector, from boutique brokerage firms to global investment banks, as well as new firms seeking authorisation.
![pexels-sevenstormphotography-439379](https://www.plenitudeconsulting.com/hs-fs/hubfs/Misc%20Images/pexels-sevenstormphotography-439379.jpg?width=2000&height=1500&name=pexels-sevenstormphotography-439379.jpg)
Our approach, benefits and outcomes we deliver
We understand that all firms’ business activity, customer base and risk appetite will differ. We therefore work closely with our clients to develop a deep understanding of their business and FCC framework in order to develop an effective, proportionate and risk-based approach to financial crime risk management.
Plenitude’s services and capabilities are grounded in our multi-jurisdictional expertise, our proprietary suite of tools and RegTech products, and our deep understanding of sector-specific regulatory obligations and needs. This enables us to deliver the following benefits and outcomes to our clients:
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Market-leading advisory, transformation and technical expertise with tech-enabled delivery:
our full-service offering enables us to meet all of our clients’ needs. Our tech-enabled delivery approach leverages our extensive suite of proprietary tools and RegTech products which enables us to accelerate delivery and reduce overall engagement costs.
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Regulatory compliance and assurance:
we enable clients to fully understand and meet their regulatory obligations, along with the ability to present robust documentation to demonstrate their conformance with regulatory requirements.
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Enhanced efficiency, effectiveness and cost reduction:
our tech advisory, data analytics services and RegTech products enhance efficiency, optimise detection accuracy, streamline workflows and reduce false positives, leading to improved effectiveness and significant cost savings.
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Access to cutting-edge technology and future-proofed compliance:
we enable our clients to stay ahead of evolving regulations and criminal tactics by optimising current systems and controls, deploying the latest AI-powered technology and data analytics services.
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Compliance transformation:
we partner with clients to transform their entire compliance function, fostering a culture of data-driven decision-making and continuous improvement.
Our Services
Our capabilities address the entire spectrum of financial crime risks and, as a full-service provider, we can meet all of our clients’ needs in order to deliver a truly integrated consulting service. We can assist with a wide range of needs, including independent assessments, policy and standards enhancement, risk assessments, specialist tech and data support, and remediation and transformation program design and execution. No matter what the requirement, we are here to help.
Discover more about our services and see why our integrity, passion and delivery excellence have been praised by so many clients.
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Data Analytics Services
Data quality, siloed systems, and the ever-evolving tactics of criminals make effective data analysis a constant battle. Firms need to break down these silos to get a holistic view of customer activity and identify hidden patterns that might indicate a financial crime threat.
![108364 PLE Images 628x800 13](https://www.plenitudeconsulting.com/hs-fs/hubfs/108364%20PLE%20Images%20628x800%2013%20.jpg?width=628&height=800&name=108364%20PLE%20Images%20628x800%2013%20.jpg)
Our specialists
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Daniel Keay
Senior Executive
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Jesal Punjani
Senior Executive
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Tom McKay
Head of Data Analytics
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Edward So
Head of Transaction Monitoring
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Alejandro Escolar
Head of Screening
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Alex Brennan
Senior Manager
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Alex Statham
Senior Manager
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Christopher Duffy
Senior Manager
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Graeme Ford
Senior Manager
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Julie Sefton
Senior Manager
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Paul Mclear
Senior Manager
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Stuart Phillips
Senior Manager
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Andre Seini
Manager
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Haseeb Ahmad
Manager
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Simon Hancock
Manager
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Get in touch to speak to the team or to request a demo
Our best-in-class team are committed to building a secure financial system, safeguarding society, and empowering our clients to meet their regulatory obligations.
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