Hallmark Wealth automates controls testing
How Hallmark Wealth worked with us on automates controls testing.
We used to find out about relevant changes late and scramble. Now it's assigned work with an owner and a deadline.Hassan Rossi, Chief Technology Officer, Hallmark Wealth
The challenge
Exam preparation consumed weeks of manual evidence gathering, and the same control artefacts were re-requested from the business every cycle.
Our approach
We centralised the regulatory feeds, mapped the firm's obligations to its control library, and set up ownership and attestation workflows so every change became a tracked, assignable task.
The result
The team cut the time to assess a regulatory change from days to hours and walked into its next exam with a live obligation-to-control map instead of a binder.
Exam preparation consumed weeks of manual evidence gathering, and the same control artefacts were re-requested from the business every cycle. We centralised the regulatory feeds, mapped the firm's obligations to its control library, and set up ownership and attestation workflows so every change became a tracked, assignable task. The team cut the time to assess a regulatory change from days to hours and walked into its next exam with a live obligation-to-control map instead of a binder.
This case study is written by the vendor and describes their own work. Outcomes have not been independently verified by RegTech Radar.