Aventine Securities streamlines regulatory change
How Aventine Securities worked with us on streamlines regulatory change.
Our last exam was the calmest we've had. Everything the examiner asked for was already there.Rosa Jansen, Head of Regulatory Affairs, Aventine Securities
The challenge
The compliance team tracked hundreds of regulatory updates a month across email alerts and spreadsheets, with no reliable way to show which obligations mapped to which controls when the regulator asked.
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.
The compliance team tracked hundreds of regulatory updates a month across email alerts and spreadsheets, with no reliable way to show which obligations mapped to which controls when the regulator asked. 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
This case study is written by the vendor and describes their own work. Outcomes have not been independently verified by RegTech Radar.