ADVISORS

OPERATIONS & EXECUTION

Guiding financial services innovators from idea to execution.

Our team’s diverse experience enables us to tackle business and regulatory challenges with a unique, multidimensional, and comprehensive approach. We roll up our sleeves and work alongside our clients to evaluate their strategic alternatives and implement solutions.

SERVICES

Process assessment
Risk identification and mitigation
Flow investor diligence package and process design
Regulatory/compliance/risk management diligence
Investment transaction diligence and assessment

OPERATIONS & EXECUTION ENGAGEMENTS

Compliance Management Program Development

A rapidly-growing small business lender engaged Klaros to develop a compliance management program to satisfy the requirements of its partner banks. Klaros developed policies tailored to the company’s unique needs and growth plan, and provided support to implement the policies, including advising on development of a firm-wide compliance training program and an independent compliance testing program.