Compliance & Ethics

Bringing accountability, efficiency, and rigor to obviate risk.

Compliance and ethics programs are essential to effective organizational operations. Whether an enterprise is a startup, large multinational corporation, or regional nonprofit, instilling compliant and ethical behavior is not just about complying with minimum regulatory standards or implementing an optional risk mitigation tool. Robust compliance and ethics programs can increase profitability and performance through more trusting work environments and stakeholder relationships; confidence in operations and decision-making; increased customer retention and loyalty; and the avoidance of the many negative consequences of noncompliant or unethical behavior. Just like any other enterprise operation, however, compliance and ethics programs need to be appropriately customized and scaled to be effective and achieve their intended results.

Ankura has unparalleled experience in structuring, implementing, managing, and advising on all aspects of compliance and ethics programs for organizations and enterprises of all types. We specialize in the following compliance and ethics program services:

Our Solutions

Development, Improvement, and Implementation

Knowing the right elements and how best to design, improve, and implement them may be the difference between program success and failure.

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Organization Codes and Standards of Conduct, Policies, and Procedures

Standards of conduct require a delicate balance of tone, language, and efficiency to be truly effective.

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Training and Education

Robust and effective training and education on compliance and ethics responsibilities is required at all levels within an enterprise or organization.

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Audits and Monitoring

To be successful, an entity must audit and monitor adherence to compliance and ethics principles and processes to ensure actual observance of compliance and ethics requirements.

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Risk Management and Assessments

Compliance and ethics programs are effective only if they are tailored to addressing the compliance and ethics risks that may have an impact on an organization.

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Internal Investigations and Remediation

How an organization investigates and addresses incidents can be the difference between a successful resolution and the creation of further internal difficulties.

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Technologies and Tools

Effective management of compliance and ethics programs requires real-time, data-driven tools and technologies that quickly identify issues and can analyze trends.

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Third-Party Oversight

Failure to ensure that third parties are acting in appropriately compliant and ethical manners can result in severe negative consequences for an organization.

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Our Solutions Leverage the Expertise of:

Analytics & Data Optimization

The use of data and systems by an organization is a key element to ensuring compliance and adherence to ethical standards. Our team possesses experience evaluating and defining compliance programs with regard to systems and data.

Anti-Corruption

Understanding the corruption risks an enterprise may face is critical to the development of an effective compliance and ethics program. Our anti-corruption team performs risk assessments to identify and prioritize corruption risks to develop a tailored anti-corruption compliance program that effectively and efficiently mitigates our client's corruption risks.

Anti-Money Laundering

Our team assists clients in understanding how corporate compliance programs could include elements of anti-money laundering and/or sanctions compliance.

Crisis Preparedness & Operational Resilience

Compliance with foreign and domestic rules around emergency or crisis situations is an important element of responsible and ethical behavior. We help organizations consider how to plan and prepare for operating under duress within the ethics and compliance regimes they face globally.

Cybersecurity

Compliance requirements and enforcement around cybersecurity are becoming increasingly robust. Our team of seasoned professionals helps organizations understand and meet their cybersecurity compliance objectives in the financial services, healthcare, and retail/ecommerce, among other industry sectors.

Data Governance and Compliance

Our team of experts has developed a unique, simplified, and consolidated approach that empowers entities of all shapes and sizes to maintain a healthy data ecosystem and enables better data oversight, compliance, utilization, and protection simultaneously.

eDiscovery

Our experts provide the technology and workflow solutions to assist our compliance and ethics experts identify fact patterns within email, chat, and business documents to aid corporations with regulatory reviews, including trading communications and other regulated industries so compliance teams can make informed decisions.

International Trade Controls

International trade compliance can be daunting. Our team of former in-house professionals understand trade control problems from your perspective and know how to leverage your systems and processes to achieve results.

Investigations

Our team can provide a range of forensic assessment services for compliance matters, including objective analyses of internal controls for financial reporting, and investigative help for identified control weaknesses or matters involving the circumvention of controls.

Monitoring & Independent Oversight

We provide comprehensive, analytically-driven, and impartial oversight of organizations’ performance pursuant to imposed compliance and reform obligations, leveraging a deep bench of subject-matter experts tailored to address the unique demands of each engagement.

Visual Communications

We understand how critical communication is to our clients in resolving significant business issues. We develop solutions for all presentation challenges and make complicated information easy to understand. We work with our team of professionals to develop the most effective presentations that best communicate and clarify all complex issues.

White Collar & Securities

We provide a range of forensic assessment services for compliance matters, including objective analyses of internal controls for financial reporting, and investigative help for identified control weaknesses or matters involving the circumvention of controls.

Get in Touch
Marc-Philip Ferzan
Senior Managing Director
Michael Garson
Senior Managing Director
Insights