Investing in End-to-End Regulatory Intelligence and Change Management to Drive Compliance and Operational Efficiency

A regional financial institution had a highly decentralized, manual, and slow-to-implement regulatory change management process, creating regulatory compliance risks and operational inefficiencies.


We aligned the firm’s change management program to regulatory expectations and industry best practices by designing, developing, and implementing an end-to-end, technology-enabled change management process.

  • Conducted extensive workflow analyses and stakeholder assessments at all levels of the organization to define new process flows, identify risks and business requirements of stakeholders, and continually take the pulse of those being affected by the regulatory change.
  • Designed new processes and controls for content monitoring (regulatory intelligence), impact analysis, and change management.
  • Conceptualized, designed, developed, and deployed a new, comprehensive, centralized, content-integrated, end-to-end technology solution for end users to support daily operations and administrative functions. This included:
    • A centralized repository of federal and state laws and regulations, supervisory guidance, and notices applicable to each line of business and functional area.
    • New reports and dashboards for management visibility into developing trends and critical insights for compliance and risk management committees.
    • Gap analysis and change implementation framework.
  • Designed and implemented enterprise-wide regulatory change management policies, procedures, and training.
  • Transformed the change management process into a formal Regulatory Change Management Program Office with a commitment and focus on reducing costs and managing all regulatory change implications.
  • Improved operational efficiency and reduced costs associated with change management by 45%.
  • Saved the institution from regulatory enforcement.
  • Improved consistency and accuracy of interpretation and implementation across the organization to reduce regulatory risk.

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