Risk Management & Compliance
Risk Management & Compliance
Governance, controls, BCP, SOPs, regulatory filings, corporate compliance, and litigation support.
Advisory Structure
A focused operating model for executive finance decisions.
01
Governance, Risk & Internal Controls
02
Business Continuity & Resilience Planning (BCP)
03
Standard Operating Procedures (SOP) Design & Implementation
04
Regulatory & Statutory Compliance
05
Secretarial & Corporate Compliance
06
Litigation Support: Appeals and Assessments
Governance, Risk & Internal Controls
- Design, implementation, and testing of Internal Financial Controls (IFC) frameworks
- Establishment and maintenance of robust internal controls over financial reporting (ICFR)
- Review and optimization of existing processes, including development of Standard Operating Procedures (SOPs) and alignment of controls
- Structuring of Delegation of Authority (DoA) frameworks to strengthen governance and accountability
Business Continuity & Resilience Planning (BCP)
- Design and implementation of comprehensive Business Continuity Plans to ensure uninterrupted operations during disruptions
- Identification of critical business functions and development of contingency frameworks
- Establishment of data backup, disaster recovery, and secure cloud-based financial systems
- Development of crisis management protocols, including escalation and decision-making structures
- Enabling remote operational capabilities to ensure seamless service delivery
- Periodic testing, review, and enhancement of BCP frameworks to ensure ongoing effectiveness
Standard Operating Procedures (SOP) Design & Implementation
- Design and document SOPs across finance, treasury, and key business processes
- Standardize workflows to improve consistency, control, and scalability
- Align processes with Internal Financial Controls (IFC) and regulatory requirements
- Identify and eliminate process gaps and inefficiencies
- Integrate SOPs with existing systems and MIS frameworks
- Define approval workflows and control checkpoints
- Periodically review and update SOPs to match business and regulatory changes
Regulatory & Statutory Compliance
- End-to-end management of Income Tax, TDS, GST, RBI and MCA filings.
- Advance tax computation and compliance planning to ensure timely and accurate adherence.
- Continuous monitoring of regulatory changes.
Secretarial & Corporate Compliance
- Companies Act compliance including board meetings, filings, and governance
- Advisory on share issuance, private placements, and restructuring
- Maintenance of corporate registers, minutes, shareholding, and cap tables
- Support in due diligence and regulatory filings.
- Assist in Corporate restructuring filings with MCA/NCLT
Litigation Support: Appeals and Assessments
- Assistance in drafting responses, compiling documentation, and managing assessments before regulatory authorities
- Representation support at appellate forums, along with strategic advisory based on case facts and risk exposure
- Development of actionable strategies to mitigate exposure and ensure compliance
Discuss Your Specific Requirements.
Where finance meets strategy, structure, and scale.