Our Expertise

Guiding the Way to Solutions.

OUR EXPERTISE

The knowledge possessed by our exceptional team of professionals is Promontory’s greatest asset. Founder and Chief Executive Officer, Eugene Ludwig, has assembled a unique team of experts in virtually every area of the financial services industry. As a result, our client roster has grown to include banks of all sizes, securities firms, insurance companies, investment advisers, private equity firms, hedge funds, broker-dealers and exchanges—in short, financial companies of every stripe.

Our clients keep coming back to us because they know that Promontory’s top people roll up their sleeves to get the job done. This high-level involvement affords our clients the confidence that their issues will be handled by knowledgeable and seasoned professionals. Our professionals’ ability to sort through risk, regulatory, compliance, capital and liquidity planning issues quickly and develop effective and practical solutions leads to a high level of success and client satisfaction in the shortest time possible. We have the experience, the bench strength, the creativity and the brainpower to deliver consistently outstanding results for our clients.

We invite you to explore the links below to learn more about our areas of expertise and read about some of our representative engagements.

  • Capital Adequacy Planning and Enterprise Risk Management

    Promontory’s team of former senior bankers and bank regulators, including a principal architect of the TARP Capital Purchase Program, is uniquely qualified to assist you in improving, developing and, importantly, integrating your capital adequacy and risk management functions to meet regulatory expectations.

    » Representative Engagements

  • Compliance

    In the United States and around the globe, regulators are constantly responding to changes affecting financial companies and markets as new developments and risks arise.

    » Representative Engagements

  • Corporate Governance

    Shareholder value is generated not only by focusing on achieving profitability, but through a commitment to safe, sound and ethical governance that is aimed at deterring wrongdoing and promoting a culture of compliance and accountability.

    » Representative Engagements

  • Due Diligence

    In markets that shift on a rumor, timely and accurate insight has immense value. When it comes to mergers and acquisitions, the right knowledge can make the difference between under- and over-valuation, the difference between a shrewd acquisition and an unfortunate mistake.

    » Representative Engagements

  • Internal Audit

    Internal audit serves an integral role in ensuring a company’s safety and soundness. Every financial services company needs a strong, independent and effective internal audit and control function to oversee adherence with applicable laws, regulations and policies designed to identify and mitigate risks.

    » Representative Engagements

  • Model Building and Economic Capital

    Complex products require complex risk management tools. Promontory’s professionals have extensive experience developing and managing sophisticated models for federal government agencies and for private sector financial institutions.

    » Representative Engagements

  • Regulatory Advice

    Promontory is exceptionally well-positioned to help clients understand and satisfy the concerns of regulators. Our professionals have occupied high-ranking positions in financial regulatory agencies on four continents, including the Office of the Comptroller of the Currency.

    » Representative Engagements

  • Risk Management

    In a rapidly changing world, banks and other financial services companies must develop and maintain current, forward-looking risk management systems, buttressed by the analytics needed to support sound decision-making.

    » Representative Engagements

  • Securities

    Promontory’s seasoned securities experts handle the most complex regulatory and compliance issues and challenges facing our diverse group of clients, which includes investment advisers, hedge funds, and more.

    » Representative Engagements

  • Strategic Advice

    Promontory’s strategic advice has influenced the business decisions of financial services companies of all sizes, structures and business focus, from the largest international corporations to the smallest institutions on the domestic front.

    » Representative Engagements