Regulatory Compliance
- Compliance Readiness
- Regulatory Gap Reviews
- Compliance Frameworks
- Financial-Services Compliance
Consulting & Advisory · Risk, Compliance & Governance
Strengthen risk, compliance and governance with confidence.
We help financial institutions and organisations manage regulatory compliance, enterprise and operational risk, governance and internal controls — practical advice built for how the business actually runs.
Who it's for
- Banks & MFBs
- Fintechs
- Agency banking operators
- Corporates
- Public organisations
The challenge
Sound familiar?
The problems we are typically asked to solve.
- 01Regulatory requirements changing faster than internal processes
- 02Operational risks that are known but not well controlled
- 03Governance structures that slow decisions or blur accountability
- 04Uncertainty about readiness for a regulatory review or licence application
How Upswing helps
What we do.
Risk Management
- Enterprise Risk
- Operational Risk
- Financial-Services Risk
- Risk Registers & Assessments
Governance & Controls
- Corporate Governance
- Internal Controls
- Policies & Procedures
- Board & Management Reporting
What we can deliver
Practical outputs, not shelf reports.
- Compliance readiness assessments
- Risk and control frameworks
- Governance reviews
- Policies and procedures
- Remediation roadmaps
How we work
Understand → Assess → Design → Implement → Review
- 1
Understand
Review obligations, risks and current controls.
- 2
Assess
Identify gaps and prioritise by exposure.
- 3
Design
Shape practical frameworks and controls.
- 4
Implement
Support rollout with your teams.
- 5
Review
Monitor and strengthen over time.
Why Upswing
Practical expertise. Real results.
Practitioner-led
We understand the theory — and the reality of execution.
Research-driven
We turn information into useful business intelligence.
Commercial
We focus on outcomes, opportunities and measurable value.
Technology-enabled
We use technology and AI to improve how businesses operate.
Execution-focused
We help move ideas from strategy into action.
Relevant expertise
Where this applies.
Industries
Related solutions
Often combined with.
- ThinkConsulting & AdvisoryStrategy, regulatory and institutional advice from practitioners who have built and run what they advise on — including credit, recoveries and distressed assets.Explore
- BuildCorporate Training & CapabilityPractical programmes that build capability people use on Monday morning — designed around real work, not generic classroom theory.Explore
- ThinkResearch & IntelligenceDesk and field research that turns information into decisions — from market sizing and customer insight to mystery shopping and audits.Explore
Risk, Compliance & Governance