In late 2023, a mid-sized investment firm approached Synergetic Ecosystems facing intensifying regulatory pressure and operational growing pains. Regulators had heightened supervisory scrutiny across the financial services sector, emphasizing operational resilience, data protection, and third-party risk governance. The firm’s internal risk and compliance function—initially designed for a narrower product portfolio—struggled to keep pace with obligations under evolving financial crime, cybersecurity, and ESG disclosure frameworks. An internal audit identified inconsistent control ownership, duplicate reporting lines, and manual tracking processes that left the organization vulnerable to compliance gaps across business units.

Meanwhile, heightened enforcement activity exacerbated urgency. Updates to the SEC’s 2025 compliance mandates and the Basel Committee’s operational risk guidelines underscored stricter expectations for governance and data integrity. The firm faced resource constraints and fragmented documentation—policy manuals were outdated, monitoring routines lacked automation, and the risk register omitted key categories such as model risk, vendor management, and data governance. With regulators demanding evidence of robust risk control systems, executive leadership engaged Synergetic Ecosystems to design and implement a scalable, integrated compliance framework.

Synergetic Ecosystems designed and implemented a comprehensive enterprise risk management framework tailored to the firm's size and complexity. We mapped key risks across market risk, credit risk, operational risk, and compliance risk. We redesigned policies and procedures, implemented new monitoring tools and dashboards, and trained staff across the organization on the new framework.