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We perform pension audits with our team of very experienced and expert auditors, actuaries and accountants. Audits require a thorough understanding of the risks inherent in an organization, the regulatory environment under which pension plans are governed, as well as the processes and controls that mitigate those risks.

We have an audit team with expertise in pension and financial services industries who understand the accounting, regulatory and related issues and risks. Our team has significant industry knowledge and truly understand the issues affecting pension governance and compliance, including changes in accounting principles and the impact of IFRS on the financial statement reporting on pension plans.

We can provide audit services for single and multi-employer pension plans (MEPPs), both large and small.
Regulatory Audits

Our audit services include:
  • Compliance
  • AML
  • Privacy
  • Operations
  • Governance
  • ​Enterprise Risk Management
  • Conflicts of Interest
  • ​Accounting & Finance
  • IT
  • ​Fraud
  • Coordinating the audit with regulators
  • Help with audit response letters
  • ​Validating audit deficiencies are resolved
Policies and Procedures

​Our services include developing:
  • Compliance Manuals
  • ​Governance
  • Anti-Money Laundering (AML)
  • Privacy
  • Conflicts of Interest policy​
  • Enterprise Risk Management
  • ​Operations Risk Management
  • ​Fraud Risk Management
  • Cyber Risk Management
  • ​Accounting & Finance
  • Client Complaint Handling
  • Trade Desk Surveillance
  • Relationship Disclosure Documents
Operations
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​Our services include:
  • Operational Development / Outsourcing
  • System Requirements Gathering & integration
  • Problem Resolution
  • Reconciliations Risk Management
  • Project Management
  • Business Analysis
  • Clearing & Settlements 
  • Quality Assurance
  • Vendor Partnerships
  • Data Management 
  • Contracts & Negotiations
  • Process Improvements
  • Accounting Systems
  • ​Middle Office
Anti-Money Laundering (AML)

Our services include:
  • Global Regulatory Compliance investigations
  • Global AML external audits
  • Global AML/ATF Regulations and Risk Analysis
  • Global AML/ATF Policy, Program Design and Reporting
  • Global AML Governance
  • Global AML risk assessments
  • Global AML  procedures
  • Global AML Training
  • AML Customer Identification (KYC) 
  • Enhanced Due Diligence
  • Suspicious Transaction Reporting
Trading
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​Our services include:
  • Market and Trading Credit Risk Management
  • Risk and Valuation Policy and Standard
  • Risk Capital and Its Allocation
  • Risk and Regulatory Reporting
  • Trade Support and Risk Oversight
  • P & L and Risk Analytics
  • Profit Attribute Analysis and Performance Measurement
  • Cash and Liquidity Risk Management
  • ​Pricing and Independent Price Verification
Trading

​​Our services include:
  • IT Strategy and Execution
  • Trading & Risk Architecture Design and Development
  • Operating Procedures and Controls
  • Reconciliation • Market and Reference Data Management
  • Collateral Management and Margin Calculation
  • Vendor Selection and Contract Negotiation
  • Change Management and Organization Effectiveness
  • ​Project/Program Management
Investment & Credit Risk Management

Our services include audits of:
  • Real Estate Funds
  • Equities
  • Private Equity
  • Venture Capital
  • Infrastructure Investment
  • Fixed Income
  • ​Derivatives
  • Financial Engineering
  • High Yield Bonds
  • ​Emerging Markets Investing
  • Portfolio Reporting
  • Risk Analytics (Credit, Market, Liquidity)
Investment & Credit Risk Management

Our services include:
  • ​OSFI/Regulatory/Annual reporting requirements (e.g., IAS, RPIS, or by Defined Benefit, Defined Contribution, Pooled Registered Pension Plans)
  • Asset Allocations and Portfolio Construction
  • Benchmarking and Performance Measurement
  • E2E Investment Risk Platform audits
  • Active Risk Management Framework Audits
  • Model Risk Management review and audit (Actuarial + Investment)
  • BCP Strategy, Plan, and Policies, Standards, and
  • Operation Procedures reviews and audits
  • Data Analytics
  • Insider Trading Risk
  • COVID-19 Risk and controls