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Governance, Regulatory & Compliance

Complying with the complexity and impact of regulations requires an integrated approach that leverages existing enterprise infrastructure and provides a path forward for compliance, combined with continuous financial and operational improvement. These requirements are supported by properly designed governance structures that provide clear definitions for requirements, guidance, authorisation, responsibility, controls and communication related to regulatory compliance. The FTI Consulting Insurance & Investment Management group team has the experience and expertise to help clients develop governance frameworks, conduct internal audits, and understand, manage and comply with specific requirements of each regulatory programme. Our team of former insurance and regulatory executives are often involved in regular review and oversight to ensure that our client organisation is continually meeting its governance and compliance objectives.


Our Industry Services

Governance Frameworks

Our deep insurance industry enable us to quickly assess the current situation and determine the most effective path… More


Internal Audit

Addresses critical functions through financial and operational audits, risk assessments, quality assessment reviews… More


Solvency II & ORSA

Assessing critical Solvency II and ORSA post-gap-analysis strategies and implementation initiatives… More


Sarbanes-Oxley

Addressing regulatory governance, financial disclosure, internal controls, and the data and process improvements… More


Regulatory Interpretations & Remediation

Provides an objective interpretation of regulations and their myriad changes to help clients understand what is required… More


Compliance Programmes

Helps clients meet this challenge by interpreting compliance requirements, identifying compliance issues and priorities… More


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Key Contacts

Wendy Shapss

Senior Managing Director, Co-Leader of Insurance Services

Mark Higgins

Senior Managing Director