Case Studies
The following examples provide an overview of the types of programmes, operational initiatives and regulatory support engagements delivered across regulated financial services environments.
Large-Scale Pension Remediation Programme
Work Undertaken
Delivered governance and oversight across a portfolio of 61 operational incident remediation programmes within a large pensions administration environment. The work included structured remediation planning, population analysis, containment strategies, regulatory reporting, executive governance, dependency management and warranty controls across multiple high-risk operational incidents.
Outcome
Established a consistent remediation framework across all incidents, improving governance visibility, audit readiness and delivery control. Enhanced executive reporting and reduced operational risk through structured remediation and assurance processes.
Automated MI & Governance Reporting Suite
Work Undertaken
Designed and implemented a bespoke Excel/VBA-based reporting and governance solution capable of consolidating data from multiple operational workstreams and project plans into automated dashboards, heatmaps, steering committee packs, task trackers and audit-ready outputs.
Outcome
Reduced manual reporting effort from days to minutes whilst significantly improving consistency, governance oversight and reporting accuracy. The solution passed external audit review and became a central operational governance tool for programme leadership.
Investment Suitability & Past Business Review Programme
Work Undertaken
Supported large-scale investment suitability and remediation programmes across wealth management and financial advice environments. Services included QA review frameworks, redress methodology support, governance oversight, suitability assessment logic, MI reporting and operational remediation management.
Outcome
Improved quality assurance consistency and strengthened regulatory oversight across complex remediation exercises. Delivered enhanced management information, improved audit traceability and supported fair customer outcomes aligned to FCA expectations.
Financial Crime Operating Model & Controls Enhancement
Work Undertaken
Supported the development of an enterprise-wide financial crime framework covering AML, KYC, sanctions screening, transaction monitoring, behavioural monitoring, customer risk rating and governance reporting across a regulated financial services operation.
Outcome
Delivered enhanced financial crime governance, improved control visibility and strengthened operational compliance capability across multiple business areas. Supported alignment to FCA and AML regulatory expectations.
AI-Driven Suitability Review & QA Framework
Work Undertaken
Designed requirements and operational logic for an AI-assisted suitability review and quality checking framework integrated with financial advice and CRM systems. The solution focused on automated rule assessment, suitability testing, governance controls and review efficiency.
Outcome
Enabled the transition from manual review activity towards scalable automated quality assurance. Improved consistency of suitability checking and created a framework capable of supporting future AI-led compliance monitoring and operational assurance.
VBA & SQL Data Remediation Tooling
Work Undertaken
Developed bespoke VBA and SQL-based remediation and reconciliation tools to support large-scale operational reviews, data analysis, exception handling and governance tracking across regulated environments.
Outcome
Increased operational efficiency, reduced manual intervention and improved accuracy in complex remediation and reconciliation activities involving large datasets and multiple control points.
Consumer Duty & Regulatory Framework Enhancement
Work Undertaken
Supported firms in strengthening governance frameworks aligned to Consumer Duty, COBS, DISP and wider FCA expectations. Work included policy design, suitability standards, complaints governance, vulnerability considerations and operational control assessments.
Outcome
Improved regulatory readiness and governance maturity whilst embedding clearer operational controls and customer outcome monitoring across advisory and operational functions.
Section 166, VREQ & Regulatory Remediation Support
Work Undertaken
Provided advisory and operational support relating to regulatory remediation activity, governance uplift, control enhancement and supervisory response preparation connected to FCA oversight and restriction environments.
Outcome
Assisted firms in strengthening governance structures, remediation oversight and control frameworks to support regulatory engagement and operational recovery objectives.