Financial Services Risk and Regulatory

Explore PwC’s financial consulting solutions

At PwC, we help our financial services clients transform risk management and reimagine investments in risk solutions to unlock opportunities that impact the bottom line. Leveraging our industry knowledge with a tech-driven approach, we help create sustainable solutions for ensuring growth and value.

Through agile processes, we prepare you for regulatory complexities and unforeseen challenges.Our team of experts, including former executives and regulators, guides your organization to accelerate growth, utilizing cutting-edge technologies like generative AI and automation.

Embrace the future of your business, conquer industry disruptions, and adapt to regulatory changes with PwC by your side.

Chartis RiskTech100 2024 logo

Chartis Research once again names PwC as a top risk and compliance technology provider.
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How PwC can help


Internal Audit, SOX Readiness, Risk Assessment: Audit Planning/Execution, Risk Assessment, SOX Programs & Testing and Control Design to confirm effective risk management, governance and internal control processes are established within your institution.

Regulatory Strategy & Compliance: Regulatory Reporting/Inventory Design & Implementation, Regulatory Testing & Monitoring, Regulatory Change Management and Regulatory Response & Remediation to help you effectively and efficiently handle change and proactively manage new regulatory challenges and risks.

Operational Risk & Enterprise Risk Management: Risk & Control Self Assessment (RCSA) Design and Execution, ERM Program Development & Execution and Management Control Design & Implementation to effectively develop, identify and assess key risks and controls within your organization.

Financial Risk: Credit risk, liquidity risk and market risk solutions across all three lines of defense covering topics that include model risk management, stress testing, operating model, governance & organizational structure, policy design and process automation.

Technology & Analytics: Implementing Quantitative Risk Modeling & Analytics, Risk & Regulatory Technology Enablement and Risk Data Warehouses to enable you with products, tools and technology to help your organization mitigate risk and sustain advantage in the marketplace.

Payments: PwC’s Payments team focuses on evolving technology within the payments industry and shifts in the regulatory industry to implement faster payment systems, mitigate risk and propel growth.

Digital Assets: PwC’s Digital Assets team has deep experience in digital asset regulatory compliance and can help institutions assess existing programs, implement new processes and technology initiatives, and independently audit programs against regulatory requirements.

Regulatory Operations and Reporting Managed Services: Empower your organization to navigate regulatory standards, optimize operations, and streamline transparency reporting with our expert team. Unlock your full potential by joining forces with us. Experience the power of PwC's tech-enabled managed services platform and trusted team, driving compliance and fueling innovation.


Ready Assess: Stay informed and act faster with a dynamic, data-driven risk assessment platform. Designed with real-world experience, Ready Assess streamlines assessments, making them visual, interactive, trackable and actionable.

Model Edge: Streamline model risk management and model governance with a cloud-based platform that accelerates the end-to-end model lifecycle, giving you tools, templates and test scripts to identify and manage risk more effectively.

Enterprise Control: Automate the operation and testing of controls. With PwC-powered technology and knowledge, Enterprise Control helps you manage risk and compliance costs.

Risk Detect: Identify and flag high risk activity with our digital risk detection and monitoring solution. Utilize advanced analytic algorithms and machine learning to get to key data points quickly and efficiently.

Risk Link: An all-in-one, intelligent risk management solution that seamlessly connects to your GRC and ERP systems, providing a 360-degree view of risk. Our curated repository features over 100k+ regulations, processes, risk and controls spanning privacy, ESG, and more from PwC and third parties. Read the feature in WIRED Magazine.


At PwC, our alliance relationships offer a new equation to accelerate breakthrough outcomes. How? We tech up your strategy, innovating unique solutions that help simplify your systems and amplify your results.

These technology partners complement PwC's financial risk and regulatory services by automating reporting for regulatory compliance, offering a rich library of standardized regulatory content, and by providing an enterprise-wide GRC solution that promotes collaboration and comprehensive regulatory insights. Additionally, our network introduces cutting-edge generative and enterprise AI to enhance governance, risk, and compliance for financial institutions.

Explore PwC's full network of strategic alliances here.

Industry Sectors

PwC's bank regulatory compliance team is well qualified to assist banking companies in addressing these challenges and staying abreast of changing regulatory requirements, expectations and industry practices.

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PwC’s Assets & Wealth Management team assists asset managers in identifying, assessing, and controlling business, operational, and compliance risk through tailored controls and solutions to your unique regulatory and compliance requirements.

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PwC’s Insurance team is dedicated to helping insurers leverage new technologies to manage life, health, property and liability risks, aligning with competitor and customer expectations.

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Recent financial services regulatory publications

Contact us

Sean Joyce

Global Cybersecurity & Privacy Leader, PwC US; Cyber, Risk & Regulatory Leader, PwC US


Joseph Nocera

Cyber, Risk and Regulatory Marketing Lead Partner, PwC US


Vikas Agarwal

Financial Services Risk & Regulatory Leader, PwC US


Dietmar Serbee

Financial Services Sector Leader, Cyber, Risk & Regulatory, PwC US


Adam Gilbert

Global Senior Regulatory Advisor, PwC US


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