Investigations / Compliance Consulting

Corporate Governance & Regulatory Compliance

J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024

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Our team assists clients facing multi-jurisdictional regulatory inquiries, government investigations, and internal compliance challenges by helping them design, implement, monitor, and enhance effective compliance policies and programs.

We leverage our regulatory, technology, and investigative expertise to provide clients with a 360-degree view of their operations to help adapt to ever-changing regulatory requirements and manage emerging data sources and technologies.

Our data-mapping review, transaction testing, gap analysis, and ongoing monitoring services are tailored to the unique industry, geographic, environmental, social, and governance factors specific to each client. This allows us to help clients create and maintain internal compliance policies, procedures, and controls in an evolving business, legal, and regulatory environment.

In situations where a potential violation has occurred, we provide investigative, forensic accounting, analytics, compliance, and remediation services. We have advised clients in matters involving, but not limited to, violations of corporate governance, sanctions laws and regulations, trade practices, banking regulations, public policies, money laundering, bribery, fraud, and corruption.

Our Services
  • Anti-Bribery & Anti-Corruption (ABC) Compliance
  • Anti-Money Laundering (AML) Compliance & Monitoring
  • Bank Secrecy Act (BSA) Compliance
  • Broker-Dealer Registrations
  • Business Conduct & Code of Ethics Review
  • Code of Ethics & Business Conduct Review & Development
  • Compliance Managed Services & Outsourcing
  • Compliance Policies & Procedures Evaluation & Creation
  • Compliance Policies & Procedures Gap Analysis
  • Compliance Program Development & Certification
  • Compliance Program Monitoring
  • Contract Compliance Support
  • Corporate Integrity Monitoring
  • Cyber Security & Investigations
  • Data Privacy & Information Governance
  • Due Diligence, Corruption & Reputational Risk Assessments
  • Environmental, Social & Governance (ESG) Compliance
  • FINRA Membership Application Support
  • Foreign Corrupt Practices Act (FCPA) Compliance
  • Independent Internal Controls Assessments
  • Inside Trading Policies Development & Evaluation
  • Internal Audit Reviews
  • Know Your Customer (KYC) Research & Analysis
  • Monitorships & Independent Compliance Consulting Services
  • Office of Ethics & Compliance Support
  • Office of Foreign Asset Control (OFAC) & Sanctions Compliance
  • Regulatory Inquiry Support
  • Required Government Filings Support
  • Securities and Exchange Commission (SEC) Disclosure Support & Reporting
  • Suspicious Activity Report Development
  • Technology System Assessments & Validation
  • Trading & Risk Controls
  • Transaction Reviews & Lookbacks
  • U.K. Bribery Act Compliance
  • Whistleblower Hotline Monitoring
Our Subject Matter Experts
  • Anti-Bribery & Anti-Corruption Experts
  • Anti-Money Laundering (BSA/AML) Experts
  • Business Intelligence Consultants
  • Certified Forensic Computer Examiners (CFCE)
  • Certified Fraud Examiners (CFE)
  • Certified in Financial Forensics (CFF)
  • Certified Information Systems Security Professionals (CISSP)
  • Certified Public Accountants (CPA)
  • Chartered Global Management Accountant (CGMA)
  • Compliance, Sanctions & Regulatory Experts
  • Computer Forensic Experts (EnCase Certified Examiners)
  • Cyber Security & Investigations Experts
  • Data Analytics Experts
  • Dispute Advisory Experts
  • eDiscovery Specialists
  • FCPA Experts
  • Forensic Accountants
  • Former Corporate Internal Auditors
  • Former Prosecutors & Law Enforcement
  • Fraud & Corruption Investigators
  • Information Governance Experts
  • Investigative Due Diligence Consultants
  • Political Risk Consultants
  • Risk Advisory & Compliance Experts
  • SEC Compliance Consultants
  • Security & Risk Management Experts
  • Sustainability Experts
  • Technology Consultants
  • Trade Sanctions & OFAC Experts
Our Clients

Our experts provide specialized guidance in corporate governance and regulatory compliance matters across a wide-range of industries. Our clients include, but are not limited to:

  • Audit Committees
  • Boards of Directors
  • Chief Compliance Officers
  • Chief Ethics Officers
  • Chief Information Security Officers
  • Corporations & Law Firms
  • General Counsel
  • Government Agencies
  • Special Committees
Boards of Directors Advisory

Our experts provide boards of directors with strategic advisory services on compliance and disclosure issues, including risk management, potential violations of laws or regulations, possible conflicts of interest, answers to shareholder requests/actions, commercial litigation, and response to investigations and enforcement actions by regulators.

For clients with corporate governance programs in place and looking for potential enhancement and/or continuous monitoring, we leverage our experience in accounting, financial matters, investigations, and internal controls, along with innovative technology tools and custom solutions, to test and enhance governance programs and provide ongoing monitoring services. Our experts work to ensure programs are operating effectively and as intended, providing actionable guidance on any gaps in compliance programs to increase program effectiveness.

Environmental, Social & Governance (ESG) Compliance

Our team assists clients with compliance and reporting related to rapidly evolving ESG trends and requirements. We work with clients to develop and enhance ESG programs and provide effective solutions tailored to their specific business needs and priorities.

We leverage our deep investigative, technical, and industry expertise to identify and prioritize governance and integrity risks associated with critical ESG issues, including but not limited to: conducting supply chain mapping to identify potential high-risk suppliers and help companies maintain transparency across multiple jurisdictions and economies; conducting social audits to evaluate working conditions, health and safety issues, diversity and inclusion in the workforce, and environmental management; providing assistance in auditing social responsibility clauses in agreements and established sustainable procurement criteria; and providing guidance regarding cyber security frameworks and data governance

By combining our investigative experience and environmental, health, and safety expertise, we deliver comprehensive solutions across a wide range of ESG issues to help clients achieve their ESG goals in satisfying regulatory, investor, and ethical requirements and expectations.

Anti-Bribery & Anti-Corruption Compliance

We help companies evaluate and strengthen their anti-bribery and anti-corruption compliance programs. Our global experts have a deep understanding of anti-bribery and anti-corruption regulations, including the U.S. FCPA, U.K. Bribery Act, and other regulatory provisions around the world. We help ensure corporate compliance policies and procedures address anti-bribery and anti-corruption risks in various operations and jurisdictions through risk assessments, sample testing, and/or compliance monitoring to confirm program effectiveness and identify potential gaps and opportunities for enhancement.

Our capabilities include anti-bribery and anti-corruption program assessment; transaction testing; internal controls review; enhanced due diligence of third-party vendors, agents, and intermediaries; cross-border investigations; and monitorships.

Risk Advisory, Assessment & Gap Analysis

Our team is experienced in conducting gap analyses of corporate governance frameworks and compliance protocols to identify unrecognized risks, underlying causes, and areas for improvement to most effectively mitigate risk.

By gathering quantitative and qualitative data, measuring key performance indicators, interviews, and escalating levels of assessments, we help clients assess and monitor their compliance programs. We work closely with key stakeholders and personnel to address and mitigate risks, respond to imminent crisis situations, and ensure long-term business success.

Regulatory Compliance Services

Our team assists clients to maintain compliance spanning many regulatory frameworks and governing bodies, including, but not limited to:

  • DOJ Compliance
    Our team assists clients and their counsel to navigate compliance issues and enforcement actions brought by the Department of Justice (DOJ), which brings criminal prosecutions under the FCPA as well as other corruption cases under anti-money laundering statutes and other laws.
  • SEC Compliance
    Our team helps clients with FCPA and other regulatory requirements enforced by the Securities and Exchange Commission (SEC) to maintain accurate records and develop strong internal accounting controls. We also assist with internal investigations and SEC disclosures and reporting requirements.
  • OFAC & Trade Sanctions Compliance
    Our experts help clients understand the requirements of the Office of Foreign Assets Control (OFAC), which administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals.
  • FTC Compliance
    Our team provides support for counsel when companies are facing merger enforcement challenges, or actions related to fraud or disclosure for stock offerings that require additional Federal Trade Commission (FTC) compliance. We also provide testimony in other anticompetitive matters regulated by the FTC and the antitrust division of the DOJ.
  • CFTC Compliance
    We help clients meet the compliance requirements of the Commodity Futures Trading Commission (CFTC), which regulates the U.S. derivatives markets.

Our insights cover a variety of topics impacting businesses, society, the economy, and the environment. Check out our latest white papers, research reports, educational seminars, industry speaking engagements, and perspective articles.

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Our Experts