A Framework for Compliance Risk Management

Financial Consulting Strategies

Client Challenge

The client intended to position the Indian operations of their compliance risk management division as an outsourcing destination for their global operations of compliance risk management. The client requested UC STRATEGY for assistance in designing a framework that would serve as a basis for presenting his case to the top management, domestic and international.

Our Approach

  • Designed a compliance risk management framework at the country and the group level to help the client to meet his objective of
    • Promoting the culture and practice of the compliance of local laws and regulations, internal rules and guidelines and the standards and policies outlined in the group code of conduct, throughout the group
    • Overseeing compliance with these requirements and encouraging all the staff members to embrace their personal responsibility for compliance
  • Designed the following formats to help the clients gain better control over his business case of making India an outsourcing destination for global compliance risk management:
    • Implementation Schedule
    • Ownership Schedule

Our Impact

Client received a future earning scenario based on the competitive landscape, operational and management capabilities of the firm, customer and franchisee acquisition strategy, and a likely trend of the various asset classes. UC STRATEGY also provided a Go / No-Go decision based on the returns achievable, which was further based on the scenarios in an optimistic equity market and a flat equity market.


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