Optimizing Incentive Compensation
Plans and Processes

Given the variety of activities as well as the number and range of employees in a position to assume significant risk, a national financial institution needed to review its incentive compensation program and processes against interagency regulatory guidance.


We assessed the client’s incentive compensation practices to ensure its risk-appropriate incentive compensation program met heightened standards and interagency guidance on sound incentive compensation practices.

  • Conducted a comprehensive gap analysis of the client’s incentive compensation plans against regulatory expectations focusing on methods used to link compensation and risk, identification of key employees, and governance.
  • Refined and improved policies and procedures for risk management processes and controls that reinforce balance between risks and results.
  • Developed recommendations to guide the organization in fine-tuning its compensation arrangement practices consistent with regulatory expectations.
  • Significantly reduced regulatory compliance and legal risks by improving documentation of the processes and controls associated with the design of our client’s compensation arrangements.
  • Improved the maturity and sustainability of the client’s compensation practices.
  • Avoided potential regulatory enforcement.

Case Studies

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