Advisory Services for Institutions That Cannot Afford to Get It Wrong
Engagements are structured around four practice areas — each grounded in direct execution experience at the Federal Reserve, U.S. Bank, World Bank Group, and global capital markets.
AI Governance & Oversight
Regulatory expectations for AI are accelerating. Governance frameworks must be built before examiners arrive.
Board-level AI governance frameworks, model risk oversight, responsible AI policy design, and regulatory readiness for emerging AI requirements. Draws on firsthand experience managing regulatory relationships and building governance infrastructure that satisfies examiners — not just on paper, but under scrutiny.
- AI governance maturity assessment and gap analysis
- Model risk oversight framework design
- Responsible AI policy and board-level reporting
- Regulatory readiness for emerging AI requirements
- Board and management committee briefing preparation
IFC/World Bank — $500M global portfolio; Vident Investment Advisory — AUM growth $1B to $3B
Board Risk & Audit Readiness
Audit findings are a governance failure before they are a compliance failure.
Federal Reserve, OCC, and SEC engagement; audit readiness; governance framework design; board risk committee structure and oversight. Focused on the structural conditions that produce clean audit outcomes: clear ownership, documented controls, accountable forums, and evidence that the program operates as designed.
- Audit readiness assessment and control documentation
- Governance forum design (executive steering, working groups, escalation paths)
- Board and management committee briefing preparation
- Regulatory examination preparation and gap assessment
- Post-audit remediation planning and tracking
U.S. Bank — enterprise-wide governance transformation across multiple product offerings and functional program areas
Privacy & Data Governance
Privacy programs that hold under regulatory review require more than policy — they require operational discipline.
Privacy program transformation, data governance frameworks, third-party risk oversight, and compliance with evolving data protection requirements. Structured around the disciplines that determine whether a program succeeds under examiner scrutiny.
- Privacy program design and transformation (OneTrust, SAFR, enterprise platforms)
- Data governance framework development
- Third-party risk oversight and vendor governance
- Regulatory response strategy and remediation planning
- Interagency coordination and examiner-facing documentation
Federal Reserve System Privacy Program — passed 2025 System Privacy Audit with no major findings
Enterprise Transformation
Large-scale transformation requires more than a project plan. It requires someone who has run one.
Large-scale, multi-stakeholder program build and execution; regulatory-driven transformation; cross-functional mobilization at scale. End-to-end advisory for enterprise programs involving regulatory deadlines and board-level visibility.
- Program architecture and governance framework design
- Cross-functional mobilization (legal, finance, operations, technology)
- Executive and board-level reporting and communications
- Regulatory deadline management and milestone accountability
- AI-assisted contract and legal remediation strategy
LIBOR Transition Program — $85M program, 600+ FTEs mobilized, Federal Reserve and OCC briefings
How Engagements Are Structured
CAPIM Financial operates as a senior advisory practice — not a staffing firm. Engagements are scoped around a defined mandate and delivered with direct principal involvement. Typical structures include focused advisory retainers, defined-scope project engagements, and executive advisory arrangements for institutions navigating a specific regulatory or transformation challenge.
Advisory Retainer
Ongoing senior counsel for institutions managing regulatory relationships, program governance, or strategic risk — structured for continuity and direct access.
Project Engagement
Defined-scope work tied to a specific mandate: examination preparation, program architecture, risk framework design, or governance build-out.
Executive Advisory
Board-level or C-suite advisory for institutions requiring independent perspective on regulatory strategy, enterprise program decisions, or transformation priorities.
Discuss Your Mandate
Most engagements begin with a focused conversation about the institution's specific challenge — regulatory, programmatic, or strategic. That conversation is confidential and without obligation.