What we do

S-RM helps financial services clients make better decisions and comply with regulatory demands effectively.

Enhanced due diligence reporting

We support compliance teams at investment and commercial banks with due diligence on corporate clients, providing a range of reporting. We also help private banks with their customer due diligence by providing independent assessments of the source of wealth and political exposure of the bank’s new and existing high-net-worth (HNW) and ultra-high-net-worth (UNHW) clients.

Major financings

We provide in-depth investigative due diligence support to investment banks reviewing M&A transactions, IPOs, bond issues, proprietary trading, and other major financings. We help clients with a range of diligence challenges, from understanding the reputation of an executive team to investigating the integrity of a key asset or license.

Country risk

We help clients understand macro-level trends through analysis of regulatory, security and political developments.

Director screening

We work with financial advisors, including nominated advisors (NOMADs), to assess proposed directors for publicly-listed companies. We undertake background checks against their track record to understand their suitability and complete independent verification of documents provided by directors to ensure that information presented to public markets is accurate and up-to-date.

Brokers and intermediaries

We help insurance companies assess their broker and intermediary networks to address operational and regulatory challenges, from fraud and reputational damage through to bribery and corruption and sanctions risks.

Monitoring

We provide a range of managed monitoring services to the financial services sector, turning real-time news feeds into actionable alerts. We use machine learning and natural language processing technology to identify red flag events, analyzing over 5 million articles each day. We help clients stay informed about their customers, counterparties and brokers so they can act early when issues arise.

Cyber security

We help financial services clients assess their cyber security posture. Our assessments profile an organisation’s risks and provide advice on how to mitigate them. We test the effectiveness of security measures via vulnerability scanning, penetration testing, and incident management exercises. We focus on explaining technical issues in simple language so our findings can be understood and acted on throughout an organisation.

Regulatory compliance

We assist clients preparing for and meeting regulatory requirements, such as GDPR and the NYDFS Cyber Security. We help our clients understand where their data is held and provide best practice advice and support for securing it.