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Financial Services Compliance Consulting for Regulated Institutions

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Close compliance gaps before they become findings

Consumer protection requirements keep shifting. Neontri supports banks, credit unions, fintechs, and other financial institutions in strengthening controls, reducing exposure, and preparing for regulatory review.

Why compliance consulting is critical in financial services

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Greater readiness for regulatory review

An external perspective identifies regulatory changes and control gaps before they develop into formal findings.

A specialist examining regulatory documents for audit and remediation planning

Specialist expertise when it’s needed

Targeted support covers audits, remediation, and complex assessments that fall outside the team’s day-to-day work.

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Fewer blind spots in high-risk areas

Independent review challenges internal assumptions and highlights where policies, controls, or practices may no longer match current requirements.

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Capacity to keep priorities moving

Additional resources allow assessments and remediation work to progress alongside ongoing compliance responsibilities.

Trusted relationships across financial services

“A solution co-developed with Neontri has reduced the number of queries directed to the central system, resulting in lower infrastructure costs and customer service time.”

Piotr Durakiewicz

Team leader – departament of electronic banking applications

“The IT specialists they provided possessed the necessary experience and required competencies. We recommend Neontri as a trustworthy and reliable business partner.”

Wojciech Moraczewski

Senior Manager

“Neontri’s execution and deep understanding of corporate processes made our project remarkably smooth. Their extensive enterprise experience delivered impressive results from solution to implementation.”

Patryk Dąbrowski

Head of Software Development

“Neontri stood out with their commitment, technical competence, and understanding of KIR’s business needs.”

Robert Trętowski

Vice president

Don't wait for an examiner to find the gap

Identify control weaknesses before regulatory scrutiny increases, with specialist support that works alongside your team.

TALK TO OUR EXPERT

Scope, process, and regulatory fit – defined before work begins

Institution-type alignment

Scope is set to match your business model: commercial banks, credit unions, fintechs, asset managers, and other regulated entities each work under different rules that shape the engagement.

Regulatory framework alignment

Applicable EU and national requirements are mapped during scoping based on the institution, products, and markets involved. This may include frameworks such as PSD2, DORA, and relevant EBA guidelines, alongside jurisdiction-specific obligations.

Risk-profile focus

Work is prioritized against your specific regulatory exposure. Higher-risk areas – by product, channel, or examiner focus – get proportionally deeper attention.

Flexible engagement model

Point-in-time assessments and ongoing compliance support are both available within the agreed scope. The model fits your current need without locking you into a structure that doesn’t match it.

Defined delivery path

Stages, outputs, review points, and handoffs are documented from the outset, making it clear what will be delivered and when.

Visible accountability

Every phase has a named owner, with responsibility for each output established from the start.

A compliance consultant reviewing project documentation during a regulatory scope alignment meeting

What Neontri’s financial services compliance consulting covers

Regulatory compliance gap analysis

We assess current policies, controls, and practices against the requirements relevant to the institution and its markets. The findings highlight areas of exposure and remediation priorities.

A tablet and papers on a desk displaying financial analytics charts for regulatory framework alignment

Compliance management system

Our team structures policies, controls, monitoring, and escalation around the institution’s size, product mix, and regulatory obligations, strengthening existing programs where needed.

Internal audit
co-sourcing

When the internal audit function needs deeper regulatory compliance expertise, we work alongside your team – covering scope planning, fieldwork, and audit documentation.

Enterprise risk
management plan

We build a framework that connects compliance risk
with broader operational and strategic risk, giving leadership a consolidated view of priorities across the organization.

Hands typing on a laptop with financial metrics charts on screen next to a coffee cup

Regulatory compliance
audit report

A formal report documents audit results, risk ratings, and recommended actions in a clear structure for supervisory, board, and leadership review.

A compliance professional working on a laptop at a desk ensuring project delivery accountability

Operational resilience assessment

Our experts evaluate how well compliance operations respond to regulatory change, staffing disruption, or supervisory pressure. This highlights weaknesses that could affect continuity and control.

Clarify the next step for your compliance program

Define the right level of support, the areas to address first, and how the engagement should be structured around your priorities.

BOOK A 30-MIN CALL

From discovery to ongoing compliance:
How our engagements run

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Discovery and scope definition

We map your regulatory environment, institutional constraints, and compliance priorities. The result is a shared scope that outlines what’s covered and how success will be measured.

Current-state assessment

Existing policies, controls, workflows, monitoring practices, and documented risk positions are reviewed against the requirements in scope. Gaps are recorded with enough detail to prioritize next steps.

Findings and prioritization

Identified issues are organized by regulatory exposure, operational complexity, and remediation effort. You receive a clear view of what to address first.

Delivery planning

Agreed workstreams are assigned owners, milestones, and deliverables. The plan provides a direct reference point for delivery and any later scope changes.

Ongoing review and advisory

When the engagement continues beyond the initial assessment, review cadence, responsibilities, and escalation paths are agreed in advance.

Close your compliance gaps with Neontri

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Richard Geerligs

CCO, EUROPE

richard.geerligs@neontri.com