Flagship Practice
Risk, Policy & Compliance Frameworks
We design the framework, write the policies, carry them to board approval, and stand them up on the trading floor. One team, end to end — from risk appetite to daily controls.
We design the framework, write the policies, carry them to board approval, and stand them up on the trading floor. One team, end to end — from risk appetite to daily controls.
Most firms hand you a framework document. We deliver a working governance system: policies your board approves, delegations your systems enforce, conduct standards your traders sign, and controls your risk function monitors daily.
Complete price and commodity risk policy frameworks: purpose, identified risks, measurement and reporting, limit structures, oversight, approved instruments, roles and responsibilities, and compliance controls. Structured for your markets and your risk appetite — and written to be read, not shelved.
Authority structures populated with your roles, levels, and thresholds — reconciled against existing Treasury and financial reporting authorities, and engineered to work in your CTRM system, including volume-versus-dollar denomination mechanics.
Trader conduct expectations formalized as binding, attestable policy requirements: integrity, authorized trading, conflicts of interest, prohibitions on manipulative practices, and reporting obligations — with annual certification built in.
Structured assessment of your compliance posture against regulatory requirements and leading practice, followed by the program build: policies, controls, training, and the remediation roadmap to close every gap found.
Risk management committees that actually function: charters, membership defined by role rather than name, escalation paths anchored to materiality thresholds, and the approval sequencing to carry a policy package from working team to board sign-off.
Independent assessment of your risk and pricing functions — clarity of roles across front office, risk, FP&A, and executive management; staffing and capability sizing; and the technology growth plan to support them.
VaR methodologies (including leg-level breakout and outright-versus-basis separation), volumetric exposure, mark-to-market P&L, and drawdown-from-peak measures — each paired with the limit structures and escalation triggers that make them enforceable.
Our most recent framework modernization went from engagement start to board-level approval in under four months, with rollout to commercial teams across multiple offices.
Policy tolerance language, limit philosophy, and escalation thresholds are derived from your board-approved risk appetite statement and ERM materiality definitions — so trading policy and enterprise risk speak the same language.
We reconcile policy mechanics against your CTRM reality — RightAngle, Endur, Allegro — so delegations, limits, and approvals are enforced by the system, not by memo.
Frameworks ship with monitored controls — DOA-violation reporting, trade-approval timeliness, limit and drawdown tracking — shifting the risk function from firefighting to managing material exposures.
A focused review of your current policies, delegations, and controls against leading practice — with a prioritized gap map and modernization roadmap.
End-to-end design, authorship, governance approval, and rollout of your complete risk policy library — typically a matter of months, not years.
Ongoing part-time senior support: annual policy reviews, committee support, new-product assessments, and limit-framework tuning as your book evolves.
Expert part-time delivery is a deliberate model: a specialist a few days a week consistently out-delivers a generalist full time on this class of work — at lower total cost.
Tell us what you're facing. A senior practitioner — not a sales team — will respond.