Strategic FCC Compliance Technology Advising
We provide strategic advisory services to RegTech and FinCrime technology providers operating at the forefront of anti-money laundering (AML), counter-financing of terrorism (CFT), and broader financial crime compliance (FCC) innovation. Leveraging our combined legal, regulatory, and data science expertise, we help RegTech firms design, validate, and operationalize solutions that are both technically robust and regulatorily sound—accelerating product development, improving customer trust, and reducing compliance risk.
As regulators heighten scrutiny of compliance technology, particularly in areas like transaction monitoring, sanctions screening, customer risk scoring, and blockchain analytics, technology vendors must ensure their systems are defensible, transparent, and aligned with evolving supervisory expectations. We work directly with RegTech clients to build the foundational legal and risk governance structures required to achieve that goal.
We serve as a strategic partner to technology firms in two core capacities:
Internal Compliance & Model Governance Advisory:
We help RegTech providers develop internal model risk management (MRM) frameworks, governance policies, and documentation protocols that align with global regulatory standards, including those issued by the Federal Reserve, OCC, New York Department of Financial Services, and their international equivalents. This includes drafting comprehensive model governance documents that define model classifications, risk ratings, owner responsibilities, change control procedures, and validation standards. We assist in establishing robust protocols for model tuning, technical testing, data lineage mapping, and post-deployment performance monitoring. We collaborate with technical stakeholders to assess third-party data sources, design outcome testing protocols, and document policies for model documentation, access control, validation, and error handling. Our deliverables typically include a self-assessment report aligned to regulatory expectations and a summary document for clients and regulators explaining Elliptic’s MRM standards.Client-Facing Professional Services & Advisory:
We support RegTech and FCC compliance technology providers in their role as trusted compliance partners to regulated financial institutions. Acting as a professional services extension, we assist RegTech and FCC compliance technology firms in helping their customers interpret and implement AML/CFT compliance tools effectively. This includes advising end-users on best practices for model validation, documentation, data integrity, and regulatory reporting. We also help translate complex technical capabilities into regulatory language that resonates with compliance officers, internal audit teams, and regulators.
Through both strategic and operational support, we enable RegTech and FCC compliance technology firms to offer not just products, but complete solutions. Our guidance builds the credibility needed to win institutional clients, satisfy due diligence reviews, and sustain long-term relationships with compliance-conscious financial institutions.
From startups bringing new products to market to established providers preparing for regulatory exams or client audits, we deliver practical, risk-aligned strategies that advance innovation without compromising regulatory integrity. In a fast-changing regulatory landscape, we help technology firms scale with confidence and compliance built in from the ground up.