By: Regroup Llc  09-12-2011

Expect more from your compliance program

Today's compliance professionals are under enormous pressure to identify and manage regulatory risk in a difficult market. Many are experts in areas other than compliance and are still navigating these complex requirements. We use our extensive compliance experience to turn this necessary function into a competitive advantage for your firm.

The challenge: Everybody's waiting for someone else to deal with compliance

Many compliance professionals find themselves in the awkward position of needing help to do their jobs well but lacking the tools to present a compelling request for additional resources to their CEO.

Meanwhile, C-level executives struggle to determine how much is enough in terms of compliance spending. Worse still, they're not sure how to evaluate the quality of the work their staff is currently doing.

As a result, compliance gets brushed under the rug because nobody knows how to deal with it - even though it's critical to the health and well-being of the organization.

Our solution: Take it one step at a time

As your company evolves through the normal stages of maturity shown below, we'll help you identify where you're at today. Determine how far you need (or don't need) to go and how quickly you should plan to get there. And calculate the true value of that investment for your organization.

Next, we'll work with your compliance professionals on a concrete plan for moving your entire organization (not just your compliance department) to that next level of maturity. And we'll help you win the full participation of your whole company.

Meet your compliance thought leaders

At ReGroup, we're working hard to elevate the practice of compliance. Since 2002, we've been developing and evaluating industry best practices and training compliance professionals to do their jobs more effectively.

We view the practice of compliance as more than just a set of rules to follow or a list of boxes to check off. When correctly planned for, compliance can be an incredibly powerful competitive differentiator for your company.

Benefits of working with ReGroup

Our experts will:

  • Assess your compliance program against your strategic direction and business realities
  • Help you meet (and prove you've met) regulatory requirements
  • Create a prioritized plan against necessary requirements
  • Work with your firm's executives to help them understand the need for change within the compliance department
  • Show the value of resolving issues quickly
  • Move quickly and safely from a reactive state to one that's proactive and predictive
  • Help you to improve process issues and implement best practices
  • Outline a consistent process for documenting, investigating, and addressing ongoing issues

So you can:

  • Feel confident you have a credible and transparent compliance function
  • Meet regulatory requirements
  • Turn your compliance program into a competitive advantage
  • Manage reputational risk
  • Manage your relationship with regulators

Other products and services from Regroup Llc



Ninja Coaching – a short term program designed to support you during times of extreme change, such as mergers and acquisitions, the creation of new business lines, or your first presentation to the board.Customized Coaching – a program we design with you to fit your situation.


Due Diligence

We’ll help you understand what makes your target firm tick: we’ll show you how they make decisions today, and describe how they’re likely to conduct themselves over time. Our process is designed to help you avoid exposure to unnecessary risk, manage the necessary ones, and help you see valuable embedded opportunities. We’ve leveraged that broad experience into smart due diligence models designed to help tell the whole story.



We'll show you where to make strategic investments that turn operations into a competitive advantage by reducing regulatory risk and lowering the cost of doing business. Imagine using your operations function so efficiently you're able to consistently deliver on client promises while setting the stage for long-term growth.



Whether that change is triggered by external forces or happens internally (rapid growth, new management, company buyouts), we'll make sure you're not taking on too much too quickly. It's all about teaching your leadership team to create consistent expectations in their own domain with regard to culture, decision-making, organizational structure, and people.