Advisory 20+ Years Experience

Risk & Compliance Advisory

For accounting, legal, and financial advisory firms that need real risk and compliance maturity — without hiring a full team to get there. Two decades of practical experience across financial services, healthcare, and professional services.

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Is this for you?

Who this is for

Risk and compliance advisory is usually a fit at three inflection points.

You're outgrowing 'good enough'

What worked at five people doesn't work at fifty. Regulators, banking partners, or investors are asking questions you don't have great answers to.

New product, new geography, new risk

Expanding into a regulated space — payments, healthcare, financial services, cross-border. You need a structured assessment before you scale exposure.

Preparing for due diligence

Fundraising, acquisition, or audit on the horizon. You need a clean risk and controls picture — and someone who's been on the other side of those reviews.

How it works

How advisory engagements work

Scoped to outcome, not hours. Most engagements run six to twelve weeks.

Discovery

A two-week assessment of your current state — risk register, key controls, governance posture, regulatory exposure.

Findings + roadmap

Clear findings, prioritized by severity and effort. A 90-day roadmap with owners and milestones.

Implementation support

Hands-on help to put the highest-priority controls in place. We work alongside your team — not in a back room writing memos.

Steady-state handoff

Documented procedures, training materials, and a quarterly review cadence so the work holds after we leave.

What you get

Areas of focus

AML / KYC programsPolicy, procedures, transaction monitoring tuning, sanctions screening, suspicious activity reporting. Advanced CAMS- and CGSS-certified.
Risk frameworks (COSO ERM)Establishing or maturing enterprise risk management — risk register, taxonomy, governance, reporting up to the board.
Operational controlsDesigning and testing the controls that protect revenue and reputation — segregation of duties, approval workflows, exception handling.
Third-party riskVendor due diligence, ongoing monitoring, and contract risk language for businesses that depend on critical partners.
Audit prep + remediationMock audits, finding remediation, evidence packages. We help you walk into the real audit prepared, not scrambling.
Regulatory readinessPreparing for new regulatory regimes or expanding into new jurisdictions. We map what's required and what's defensible.

In a world where risks can impact your business at any moment, having Saurabh on our team is a true relief! His expertise and steady guidance give Remittor a real competitive edge — they let me sleep peacefully at night.

Sanu Nair Founder & CEO — Remittor

FAQs

Common questions

There are four clear signals: you have an upcoming regulatory audit or examination; your firm is entering a new product or market and isn't sure of the compliance requirements; you've had an AML/KYC gap flagged internally or externally; or your team is managing compliance reactively rather than through a structured framework. If any of these apply, a free 30-minute scoping call will tell you quickly whether formal advisory makes sense.

Most often financial services, fintech and payments, healthcare-adjacent businesses, and professional services. The frameworks apply broadly, but those are where the bulk of recent engagements have been.

Both — depending on what you need. Some engagements are diagnostic and advisory only. Others include hands-on build of the policies, procedures, and tooling.

Less overhead, more direct contact with someone senior, faster turnaround. The trade-off is scale — for very large, multi-jurisdiction programs, a Big Four firm may be a better fit.

Yes. Most engagements are collaborative — we bring outside perspective and specific expertise, and your internal team owns the long-term operating model.

Free Resources

A quick check before the conversation.

Two free resources to help you see where risk, compliance, and operational gaps may already be showing up in your firm.

Browse all Free Tools

Free Scorecard · 10 min

Business Growth Scorecard

Free eBook · PDF

4 Critical Areas of Business