We offer an extensive range of unique, independent advisory services.

Specialty practice areas include governance, risk management, regulatory compliance, financial crime prevention and detection, strategic planning, information governance, technology and cybersecurity, and independent monitoring.


We offer an extensive range of unique, independent advisory services.

Specialty practice areas include governance, risk management, regulatory compliance, financial crime prevention and detection, strategic planning, information governance, technology and cybersecurity, and independent monitoring.

Advisory Services and Regulatory Expertise

Governance, Risk and Compliance

Our governance, risk management, and compliance advisors have decades of experience applying tried-and-true methodologies to address compliance and risk management needs. These services include:

  • Evaluating board composition, committee charters and structures
  • Designing communications processes to measure results and maintain strategic alignment
  • Assessing organizational risk culture, business ethics, and market conduct and integrity programs
  • Developing whistleblower reporting systems, trend analysis, and fraud prevention and detection programs
  • Enhancing investigations procedures and escalation protocols
  • Improving oversight efficacy through customized dashboards, metrics and information packages
  • Providing strategic and tactical advice on matters requiring board attention and remediation

  • Assessing and recalibrating Three Lines of Defense risk mitigation and controls
  • Conducting risk assessments to estimate probability, inherent risk factors and risk mitigation strategies
  • Designing and develop enterprise risk management programs
  • Formulating operational risk frameworks, including business resilience and continuity planning
  • Overseeing BSA/AML model validations, system calibrations and implementations
  • Enhancing Know Your Customer/Enhanced Due Diligence and Customer Identification risk processes
  • Enhancing OFAC and sanctions screening programs
  • Overseeing lookback remediation and remediation project management
  • Designing and developing third-party and vendor risk management programs

  • Conducting program operations, monitoring, and planning based on U.S. Federal Sentencing Guidelines for Organizations and related international compliance program frameworks
  • Assessing Codes of Conduct and Business Ethics for employees, boards and third-parties
  • Designing regulatory and consumer compliance remediation programs
  • Designing financial crime compliance (sanctions, money laundering, bribery & corruption)
  • Evaluating and developing governance structures, including policies and procedures
  • Evaluating and developing training, education and awareness programs for boards, management, and employees through interactive, engaging, and informative learning tools and methods

Information Governance, Tech and Cybersecurity

Institutions need to remediate and manage risks arising from cybersecurity, data privacy and enterprise content management. Records retention and data security requirements are more complex than ever, and we have innovative and rational solutions to help mitigate these high-risk areas. In conjunction with our subsidiary Blue SaaS, we provide the following services:

  • Assessing information security and reporting obligations, including attestations
  • Strengthening privacy and information protection protocols
  • Reviewing records retention and information management systems and policy implementation
  • Assessing and testing business resilience and continuity
  • Analyzing business processes and workflow management

Strategic Planning

Our former bankers and senior regulators help management teams build effective business strategies. We offer unparalleled insights in devising such plans. Our team also has extensive experience with de novo bank applications. Our services include:

  • Evaluating and developing business plans and financial modeling
  • Designing go-to market banking and branch franchise strategies
  • Assisting product design and market penetration strategies
  • Providing application expertise for de novo bank and industrial loan company formation
  • Assisting and supporting regulator and investor presentations
  • Assisting in developing digital banking strategies
  • Designing climate change and sustainability programs

Independent Monitoring and Resolution Planning

Our team has rich experience with court- and government-appointed independent oversight and remediation services for troubled institutions. Central banks and agencies turn to us in these situations for integrity, subject matter expertise, reliable investigative results, and objectivity. Our team of former bank supervisors offers large bank resolution planning expertise from hands-on experience. Our services include:

  • Supporting regulatory reform implementations for large commercial banks
  • Overseeing and supervising business wind-downs, liquidations and asset dispositions.
  • Providing independent monitoring for deferred prosecutions, liquidations and receiverships
  • Supporting deposit insurance and bank resolution programs for international and domestic regulatory agencies
  • Assisting on resolution planning and interpreting regulatory guidance and plan submissions
  • Evaluating reasonableness of resolutions plans, including assumptions, strategies, and capabilities
  • Interpreting regulatory expectations and help address concerns for successful plan submissions

Safety and Soundness

We provide analysis and support in several critical areas for financial institutions, including crisis management, credit risk assessments, liquidity strategies, operational risks, bank stress testing, prudential regulatory standards, and complex regulatory applications.

  • Review and evaluate policies, balance sheet management, and funding strategies
  • Evaluate contingency funding strategies, escalation and communication structures and protocols
  • Access controls and staffing, governance programs, contingency plans
  • Evaluate credit risk identification, monitoring, and reporting
  • Conduct allowance for loan and lease loss assessments and reviews
  • Perform model validations and stress testing scenarios
  • Perform transaction and look-back reviews and forensic investigations
    Advise on regulatory enforcement actions and remediation strategies
    Provide remediation and implementation plans to address regulatory and/or audit shortcomings or criticisms

Technology Solutions

Partnering our strategic expertise with technology solutions augments the value our firm brings to clients in the financial services industry. In conjunction with our subsidiary Blue SaaS, we provide the following services:

Navigating the many disparate technologies that address needs in every corner of the financial services sector can be a daunting task. Data security, regulatory compliance, consolidating platforms, and monetizing innovations like AI and cloud computing are just a few of the major challenges the financial services sector faces today.

We created Blue SaaS Solutions to help financial services clients navigate each of these challenges by offering an industry expert-led practice that consolidates and aligns technologies to clients’ needs.

Taking a top-down approach to engagement, Blue SaaS leverages its strategic partnerships and alliances with technology companies, service delivery consultancies and cloud computing platform companies to help clients deploy cost-effective, best-of-breed technologies while simultaneously helping its technology partners maximize executive engagement.

Our solutions offer clients a results-oriented approach to acquiring and deploying technologies that are tailored to their specific requirements. Consolidating selection and sourcing for products and services can help clients optimize their outcomes for cost and time. Leveraging partnerships and alliances with technology and services organizations provides scale and reach in an ever-growing global market for financial services.