Engagement model
Engagement Model
Senior-led mandates with clear scope, specialist workstreams, and predictable communication cadence, supported by internal quality review.
Engagement sequence
Engagement Sequence
A five-step sequence that keeps scope, evidence, and oversight aligned.
Step 1
Scoping & Mandate Definition
We confirm the regulatory perimeter, constraints, and decision rights. Scope, deliverables, and evidence responsibilities are documented to prevent drift.
Step 2
Phase Planning
We map dependencies, milestones, and review gates. The plan aligns internal owners with regulator-facing timelines.
Step 3
Execution & Documentation
We build policies, controls, and evidence packs. Working drafts are reviewed with stakeholders to ensure operational fit.
Step 4
Review & Testing
We validate evidence, run targeted testing, and resolve gaps. Findings and remediation steps are documented for oversight.
Step 5
Ongoing Advisory (if applicable)
For retained mandates, we maintain reporting cadence, periodic reviews, and regulator support to keep governance stable between inspections.
Engagement model
Senior-Led Mandates
Each engagement is led by senior advisors with clear ownership of scope, evidence standards, and delivery quality, supported by internal review.
Focus
Senior Ownership
Mandates are led by senior advisors with direct accountability for scope and evidence quality.
- Single point of accountability
- Evidence standards agreed upfront
- Escalation paths defined
Focus
Decision Rights
Decision-making and sign-off paths are documented early to prevent delivery drift.
- Clear approver roles
- Documented scope control
- Change management gates
Focus
Regulator Alignment
Documentation and controls are mapped to regulator expectations from the outset.
- Evidence mapping
- Internal quality review
- Audit-ready formatting
What you can expect
- Senior ownership of scope, evidence, and delivery quality
- Clear accountability, milestones, and decision rights
- Documentation aligned to regulator review standards
What we avoid
- Ambiguous scope or shifting ownership
- Unstructured documentation and evidence gaps
- Unclear communication or ad hoc reporting
Engagement model
Phased Delivery
We work in defined phases with clear outputs, review gates, and dependencies to reduce rework and align timelines.
Focus
Phase Definition
Work is sequenced into clear phases with entry and exit criteria.
- Scope per phase
- Dependencies logged
- Milestones visible
Focus
Review Gates
Each phase closes with a review to confirm evidence and readiness.
- Validation checkpoints
- Stakeholder sign-off
- Remediation plans
Focus
Timeline Discipline
Timelines are tied to owner capacity and regulator windows.
- Resource alignment
- Realistic lead times
- Constraint tracking
Engagement model
Collaboration & Governance Cadence
We align collaboration responsibilities and reporting cadence early to keep delivery predictable across stakeholders.
Focus
Ownership Matrix
Roles across legal, compliance, and operations are documented to avoid gaps.
- RACI clarity
- Data owners identified
- Escalation routes
Focus
Cadence & Reporting
Regular reporting keeps risk, progress, and evidence visible.
- Agreed cadence
- Board-ready summaries
- Issue tracking
Focus
Regulator Touchpoints
Engagements anticipate regulator feedback and follow-up.
- Pre-read packs
- Response coordination
- Version control
Engagement structures
Engagement Structures
Three engagement formats designed for different regulatory needs.
Fixed Scope Engagement
Defined objectives, deliverables, and timelines aligned to a specific regulatory outcome such as licensing or remediation.
Phased Transformation
Multi-stage delivery that sequences governance, control build, and evidence routines across jurisdictions or entities.
Retained Advisory
Ongoing oversight, reporting cadence, and periodic testing to maintain readiness and support regulator engagement.
Next step
Discuss a structured engagement
We will confirm scope, timeline, and regulatory expectations before work begins.