Financial institutions are facing increasing competitive pressures brought on by consolidation, globalization and regulation. As the global landscape changes ever more rapidly, the benefits of an intelligent enterprise-wide risk management become more apparent to firms pursuing new strategies and growth opportunities to increase their value and efficiency.

We help organizations integrate risk management into their strategic planning, businesses and processes enabling them to create value, while mitigating risks appropriately. Aldus Group provides a range of services to support your organization’s risk management including identification and prioritization of enterprise-wide risks, assessment of existing risk capabilities, and development of tools and processes needed to build a robust and sustainable risk management program.

Enterprise Risk Management

Leading financial institutions’ failure, often points to insufficient governance and risk management strategies and inadequate risk awareness and oversight by senior executives and board of directors. Reliable systems and processes for identifying and addressing true risks and meaningful reporting and transparency across fragmented organization structures are now increasingly the focus of senior managers, regulators and investors. As risk management has grown more complex, many organizations have created multiple risk functions that exist in silos disconnected from each other and the overall business strategy. Critical data and information is often not shared. The lack of coordination has proven costly and actually hinders an organization’s ability to manage risk and reach optimized performance.

Aldus provides senior management and their boards, advice and guidance on enterprise-wide risk assessment and management, help them achieve an interactive and coherent culture of risk across their enterprise, and create opportunities for their organizations through risk awareness and education. We accomplish this by providing top-level risk assessment, training workshops, industry research and seminars.

We also help business managers and practice leaders identify key risks and their drivers, provide gap analysis, and design value-driven solutions that incorporate strategic and tactical plans. Our experts develop robust risk-management programs to achieve business objectives and alignment with Basel II and III capital frameworks, realize benefits from outsourcing platforms, and ensure ongoing monitoring capability.

Aldus offers risk evaluation and solutions to fund managers and financial institutions. Our qualitative and quantitative methodologies and tools are proven to meet our clients’ needs, whether for an entire business entity or a specific business line. Our key services include:

  • Boards and Executive Committees Best Practices
  • Basel II Capital Adequacy Framework and Implementation
  • Operational Risk Management
  • Financial Technology Advisory and Operating Risk Services
  • Asset Restructuring and Monetization
  • Risk Management and Solutions
  • Balance Sheet and Liquidity Risk Management
  • Counterparty and Collateral Risk Management
  • Training and Seminars

Asset Management Firms & Fund Services

Hedge Funds | 40 Act Funds | Private Equity Funds | Real Estate Funds | Structured Funds

The asset management industry is facing a number of challenges as a result of the global financial crisis. These challenges pose risks to asset management firms both in traditional and alternative sectors, including falling asset flows and values, regulatory changes, reputational risk, strategy and model risks, poor execution risk, liquidity risk and competition from institutional managers, globally. Preserving competitive edge no longer lies in business and capital preservation alone. It also requires value enhancing and risk mitigating capabilities, operational efficiencies and adequate governance.

We can assist you by providing risk management and compliance advice and programs, best-practices guidelines and monitoring assistance. We support your internal risk management and compliance efforts, ensuring ongoing compliance with regulatory developments and offering outsourcing programs managed by domain experts and former regulators.

Benefiting investors and mangers alike, we also offer independent and insightful assessment of portfolio managers and their funds. Our services include in-depth review of risk, performance, procedures, partnership agreements, fund structure, valuation, controls, compliance and other essential aspects of asset management.

Our comprehensive approach is both qualitative and quantitative encompassing:

  • Fund Management Team & Investment Philosophy
  • Risk Management and Model Validation
  • Valuation and Reporting
  • Portfolio and Fund Analysis
  • Conflicts of interest
  • Third-Party Service Providers
  • Independent Oversight Committees, Advisory Board
  • Governance and Regulatory Compliance

IT Advisory

Addressing complex financial institutions’ enterprise-wide risk requires integrated and comprehensive IT risk and compliance programs, which can support rapidly changing business demands.

Our seasoned professionals can help you create a highly functioning, risk mitigating and cost efficient IT risk management environment supporting strategy, governance, risk and compliance demands resulting in enhanced overall returns.

Aldus offers support services ranging from business process implementation, custom system development with on-going support and maintenance services, to fully outsourced systems supervision and managed business services with outsourcing alternatives.

Our team of experts have years of practical financial industry experience dealing with identification, prioritization and remediation of risk, as well as design and implementation of unique solutions meeting our clients’ specific needs across all IT functions. Our IT services include:

  • IT Advisory and Implementation
  • Business Technology Platform Architecture
  • Strategic Management
  • IT Risk Management and Compliance
  • Information Management and Analysis
  • Regulatory Considerations
  • Data & Process Modeling
  • Project Management Office
  • Integration and Bespoke Solutions
  • SOA Implementation with Emerging Financial Messaging Standards

Corporate Governance

Continued business viability and profitability are founded on appropriate and integrated governance, risk management and compliance programs. As financial institutions become more complex, the need for adequate risk awareness and proactive oversight by senior executives and board of directors is magnified, necessitating a cohesive culture of common reporting and sharing of relevant information across fragmented business lines.

Whether you are interested in enhancing your governance or developing a new governance program, we can help. Through a comprehensive review of your processes and procedures and oversight functions, we identify key risk indicators and reporting gaps. We then design cohesive guidelines for coordinated business strategies, risk-management best practices, controls and compliance programs.

Aldus programs incorporate transparency and reporting standards, facilitating effective and insightful communication across all areas of your business. To ensure the effectiveness of our solutions and program adequacy, we design and institute robust and automated monitoring programs, which provide ongoing surveillance capability. Our key services include:

  • Review of Oversight Functions, Compliance Policies and Procedures
  • Identification of Key Risk Indicators and Reporting Gaps
  • Comprehensive and Cohesive Guidelines for Coordinated Business Strategies, Risk Management Best Practices, Controls and Compliance Programs
  • Transparency and Reporting Standards
  • Robust and Automated Monitoring Programs

Regulatory Compliance

The changing regulatory environment continues to pose greater challenges and complexity for financial institutions and asset management firms globally. The consequences of inadequate compliance can be severe or irreparable. We can help you address these regulatory requirements and minimize its impact on your business.

Aldus experts analyze your organization’s specific needs and provide customized, full-service solutions. Our capabilities include design and implementation of a comprehensive compliance program and ongoing monitoring, which can either be administered by your specialists or managed and monitored on our platform to ensure optimal performance. Our services include:

  • Review of Governance and Regulatory Requirements
  • Risk Management (CRO) Programs
  • Compliance (CCO) Programs
  • New Business Strategies Impact Study and Advice
  • Regulatory Reform Integration Assistance
  • Disclosure Guidelines and Training
  • Advice on Regulatory Defense Matters