For financial services today, operational resilience is no longer a best practice—it’s a regulatory mandate. Around the world, supervisory bodies have issued firm guidance on how financial institutions should prepare for, respond to, and recover from disruptions. These include the UK’s FCA and PRA Operational Resilience Framework, DORA (Digital Operational Resilience Act) in the EU, the Federal Reserve’s SR 20-24 in the U.S., APRA CPS 230 in Australia, and MAS Guidelines on Operational Resilience in Singapore. While all these frameworks emphasize continuity, ICT risk, and governance, their scopes and expectations differ. For example, DORA places a strong emphasis on third-party ICT risk and cross-border reporting, while the UK regime focuses on defining and mapping important business services and setting impact tolerances. Meanwhile, MAS highlights board accountability and scenario testing tailored to local market conditions. These variations pose a significant challenge for multinational firms trying to maintain alignment across jurisdictions—making a unified, adaptive compliance and risk approach essential for resilience.
Bridging the Gap Between Compliance and Risk
Operational resilience demands a coordinated approach across compliance and risk management disciplines because disruptions don’t respect internal silos. When a cyberattack, third-party outage, or regulatory shift occurs, it’s not just a compliance issue or a risk issue—it’s both. Compliance teams are responsible for ensuring adherence to external regulatory obligations, while risk teams focus on identifying, mitigating, and managing exposures that could threaten the organization’s operations. Without coordination, these functions often duplicate efforts, overlook control gaps, or delay response actions, ultimately increasing the organization’s vulnerability during a crisis.
For example, a regulatory change requiring stricter data protection measures may not be flagged as a priority by risk teams unless compliance surfaces it—and vice versa, a high-impact operational risk event may go unlinked to the regulatory obligations it affects. This disconnect can result in non-compliance, failed audits, or even financial penalties during supervisory reviews.
At FinregE, we help organizations unify these functions through a single, intelligent platform that automates regulatory monitoring, policy alignment, and control assessments—ensuring both compliance requirements and operational risk exposures are managed cohesively, proactively, and with full accountability.
Let’s break down how this works in practice:
1. From Regulatory Change to Actionable Compliance
Compliance teams are often inundated with constant updates from regulatory bodies. Staying on top of what matters—and acting on it quickly—is a challenge. FinregE’s Change Viewer solves this by:
- Scanning over 1,700 global regulatory sources in real time, including English and non-English jurisdictions.
- Delivering alerts within two hours of publication.
- Tagging and filtering updates by topics, themes, risk categories, and business impact.
FinregE doesn’t stop at monitoring. Our Digital Rulebooks transform regulations into structured, paragraph-level obligations. These are:
- Mapped to your internal policies, procedures, and controls.
- Continuously updated using our proprietary AI engine—RIG (Regulatory Insights Generator)—to extract obligations, highlight regulatory evolution, and summarize rule changes instantly.
2. Embedding Accountability with Compliance Libraries and Ownership Tracking
FinregE supports operational resilience by building a central rules library tailored to your firm’s regulatory footprint. This library allows you to:
- View current and historical obligations across multiple jurisdictions.
- Assign owners at the control, policy, and regulation level.
- Track attestation and audit trails across your compliance lifecycle.
Whether it’s DORA, FCA expectations, or operational risk policies, FinregE enables you to hold teams accountable through audit-ready documentation and workflow-based compliance tracking.
3. Risk-Driven Compliance: Crafting Compliant Policies and Controls
True resilience comes from translating obligations into meaningful risk mitigation. FinregE’s Regulatory Change Impact Assessment Workflow connects compliance with risk by:
- Letting users assess the operational, financial, or reputational impact of new rules.
- Recommending updates to policies, risks, and controls based on obligation gaps.
- Supporting a full lifecycle view—from identification to remediation to closure.
Crucially, this workflow is customizable, enabling your teams to define impact ratings, assign reviewers, and set implementation deadlines—all within the platform.
4. AI-Powered Insights to Future-Proof Compliance
The future of operational resilience lies in smart automation. FinregE’s RIG is a game-changer:
- It reads and interprets regulations, automatically generating summaries and linking them to your firm’s compliance environment.
- It suggests control objectives, draft policies, and mitigation strategies aligned with evolving risks.
- It highlights jurisdictional differences to help you manage cross-border compliance with confidence.
For example, if a new cybersecurity regulation is published in the EU, RIG will map its implications to your internal cybersecurity framework, flag gaps in policy, and recommend compliant control language.
5. A Unified Platform for Compliance, Risk & Governance
FinregE enables holistic operational resilience by integrating key modules:
- Horizon Scanning for real-time regulatory intelligence.
- Digital Rulebooks for structured legal obligations.
- Compliance Monitoring Plans (CMP) for centralized risk tracking.
- Control Attestation workflows to test and report on the effectiveness of mitigation strategies.
- MI & Dashboards to report on status, gaps, and audit readiness across the enterprise.
These capabilities are designed with scalability and integration in mind—whether you use ServiceNow, SharePoint, or your own GRC stack.
Why FinregE?
Institutions using FinregE have seen up to £67,500 in monthly savings through reduced manual workload, faster implementation of regulatory changes, and a more cohesive compliance-risk strategy.
Our solution is already trusted by tier-1 global banks, insurance firms, and government agencies. With ISO 27001, FSQS, and Cyber Essentials Plus certifications, FinregE delivers not just functionality, but the trust and governance required by today’s regulatory leaders.
Conclusion:
Aligning compliance and risk management is no longer optional—it’s fundamental to building operational resilience. With FinregE, you gain a future-proof platform that not only reacts to regulatory change but strategically positions your organization to thrive through it.
Are you ready to make operational resilience a reality? Let FinregE be your guide. Book a Demo today
