mono_3000x1600_HHH.jpg

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

3000x1600_toggle_7.png

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. 

mono_3000x1600_HHH.jpg