Risk Management Services

FITS Consulting helps firms build and enhance their risk management programs—ensuring they are aligned to business strategy, regulatory expectations, and operational realities. We combine deep financial industry expertise with practical risk frameworks and innovative technologies.

FINOP and Registered Principals
  • Outsourced FINOP services (Series 27)
  • Registered Principals for interim or ongoing roles
  • Regulatory filings, financial reporting, and capital compliance
  • Support for CMA/NMA submissions and regulatory inquiries

Enterprise Risk Management (ERM)
  • ERM framework development
  • Risk taxonomy and governance structure
  • Risk appetite and tolerance alignment
  • Board and executive risk reporting

Operational Risk Reviews
  • Process walkthroughs and control evaluations
  • Incident history analysis
  • Third-party/vendor risk reviews
  • Internal audit support

Key Risk Indicator (KRI) Frameworks
  • KRI identification and threshold setting
  • KRI library development
  • Monitoring and escalation protocols
  • Integration with risk and compliance reporting

Risk Control Self-Assessments (RCSAs)
  • RCSA planning and execution
  • Control identification and risk scoring
  • Heat maps and risk dashboards
  • Integration with ERM frameworks

Trend Analysis Development
  • Predictive analytics for incident detection
  • Surveillance and data mining
  • Automation of control monitoring
  • Risk scoring trend visualization

Build Resilient, Scalable Risk Frameworks That Support Business Growth.

Practical Risk Frameworks – Implements scalable frameworks tailored to your firm’s operations and regulatory environment.

Automated Risk Scoring – Supports development of tools to flag high-risk accounts, transactions, and exceptions.

Surveillance Integration – Aligns surveillance reports with broader risk indicators for consistent issue management.

Incident Response Workflows – Creates playbooks and escalation paths for risk events, regulatory inquiries, or operational incidents.

Regulatory Alignment – Ensures programs meet expectations for supervision under FINRA Rule 3110 and SEC guidance.

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