COMPLIANCE, RISK & REGULATORY PROGRAM SUPPORT​

COMPLIANCE OFFERINGS TO ASSIST FINANCIAL INSTITUTIONS, AND OTHER SECTORS, IN IMPLEMENTING SOLUTIONS TO MITIGATE FINES FOR REGULATORY INFRACTIONS.

COMPLIANCE, RISK & REGULATORY PROGRAM SUPPORT​

Compliance offerings to assist financial institutions, and other sectors, in implementing solutions to mitigate fines for regulatory infractions.

Continental Advisors provides services within the below areas:

TRENDING

- ECOMM SURVELLIENCE


​- HOLISTIC SURVEILLANCE


- TECHNOLOGY CONTROL


- DATA QUALITY/DATA COMPLETENESS


- DATA PRIVACY


- INFRASTRUCTURE AND CAPACITY PLANNING
- BUSINESS CONTINUITY MANAGEMENT


- CASE MANAGEMENT


- CLOUD BASED SOLUTIONS 

TRADITIONAL

- COMPLIANCE RISK AND CONTROL

- Risk Assessment
​- Quality Assurance
- Management Reporting

- FINANCIAL CRIME COMPLIANCE

- Ant - Money Laundering
- KYC/EDD
- Financial Sanctions Screenings
- Anti-bribery and Corruption
- Fraud

- MARKET SURVEILLANCE

- Equities and Fixed Income
- Fx, Futures, Options and Otc Swaps

- CONTROL ROOM / INFORMATION BARRIER

- Inside Trade Monitoring
- Employee Trade Monitoring
-Employee Expense Monitoring          

SEASONED PROS 

OUR CONSULTANTS HAVE BEEN EVERYWHERE

-BUY SIDE TO SELL SIDE

Our professional staff has the experience in Finance, Operations, Compliance, Risk, Regulatory and Technology Solutions

ADDRESS
600 Third Avenue, 2nd floor New York, NY 10016


CONTACTS
Email: info@contientaladvisor.com
Phone: +1 (917) 633-4748

Contact us Today!


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