Risk and Compliance

About us

Risk and Compliance


Our Risk and Compliance research provides thorough, timely and original coverage of technology and business trends in financial and operational risk. We provide clarity as we analyze technology-led innovations from across the world and assess their relevance to you. We also help you to make sense of the issues impacting you locally, distinguish between hype and reality, and guide you through your technology choices and investments.

Our Research

Our research, the bedrock on which all of our services are built, is driven by intellectual curiosity and tempered by analytical discipline. We cover a range of topics and provide in-depth analysis on the technology-related themes of the day.

Our research focuses on strategy and technology for optimizing financial and operational risk across the financial services industry. We cover regulatory and business developments in financial risk management including market risk, liquidity risk, and credit risk. Our operational risk research centers on financial crime including anti-money laundering (AML) and know your customer (KYC), fraud, and market surveillance; governance, risk, and compliance (GRC); and risk methodologies.

A subscription to our Risk Management and Compliance research service provides you with:

  • Complete access to our research on risk
  • Entrée into our insights and perspectives on the latest business trends
  • Direct contact with our team of expert analysts
  • Opportunities for additional engagement, remotely and in-person, through our webinars, client events, and in-person roundtables

Research Areas

Our research agenda for risk comprises actionable intelligence on strategic technology issues in Operational Risk and Financial Risk:

Operational Risk

Financial crime including AML / KYC; GRC; and capital markets issues including collateral management.
Key Operational Risk Research Topics
  • Financial crime and anti-fraud
  • AML / KYC vendor solutions
  • Capital markets surveillance
  • Regtech and innovations in compliance technology
  • Compliance utilities and mutualization
  • GRC trends and solutions
Typical Operational Risk Consulting Engagements
  • Thought leadership and sponsored research
  • Compliance vendor selection
  • Market opportunity studies

Financial Risk

Market risk, liquidity risk, credit risk, and collateral issues for sell side, buy side, and commercial banking.
Key Financial Risk Research Topics
  • FRTB and market risk management
  • Credit loss accounting
  • Next-generation risk management and finance data environments
  • Portfolio and risk management vendor solutions
  • Innovation in risk technology
  • Buy-side investment risk management
  • Collateral management and collateral trading
Typical Financial Risk Consulting Engagements
  • Risk management strategy
  • Risk management vendor benchmarking
  • Thought leadership and sponsored research

Special Topics - Regulation and emerging trends

We identify the most important trends as they emerge and forecast their future impact.

Current need-to-know issues — and their strategic technology implications — include:

  • Capital markets reform (FRTB and MiFID 2)
  • Credit loss accounting standards (IFRS 9 / CECL)
  • Personal data regulation (GDPR)
  • AML / CTF regulation (EU MLD 4, FinCEN CDD Rule)

Ongoing research focuses on the rapidly expanding universe of regtech and compliance tech solutions, including native cloud services, and the transformative impact they will have on risk and compliance technology, strategy, methodology, and operations.

Analyst Access

Phone or e-mail a friend. One of the key benefits of a Research Subscription is virtually unlimited access to our analysts. Our Clients frequently take advantage of this on tap advice and support to gain a deeper understanding of the implications of technology for their specific situation. Typical engagements can range from topic dives to counseling sessions to document reviews to one-on-one strategy sessions and discussions tend to center around topics such as:

  • Our quarterly research agenda - Feedback and collaboration around our upcoming research
  • Recent updates to published research (how the market has changed since the original research was released, new data points, etc.)
  • A deeper dive into a particular piece of research and the implications of that research for you
  • Our perspective on current market developments
  • Insights into specific topics

Specific examples of typical queries include:

  • Analytics and artificial intelligence
  • The impact of regtech
  • Vendor solution comparison and evaluation
  • Roadmap to next-generation compliance technology
  • Risk management and compliance IT spending trends
  • Effective risk management organization and process


Our Model Awards Program recognizes best practices of technology usage in different areas critical to success in financial services and are the main awards that a financial firm in the industry can receive from Celent.

Become a client

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