Controls Design and Effectiveness
Design controls that work in practice—not just on paper
Strong controls are essential for regulatory compliance, operational resilience, and risk management. We help organizations design, document, and assess controls that are practical, proportionate, and effective.
Overview
The Regulation Factory works with firms to build control environments that align with their risks, regulatory obligations, and operating model. We assess whether controls are appropriately designed and whether they are operating effectively over time.
Our approach emphasizes controls that are sustainable for the business while still meeting regulatory expectations.
What we help with
-
Control framework development
-
Risk-to-control mapping
-
Preventive and detective control design
-
Control documentation and testing procedures
-
Segregation of duties analysis
-
AML/CTF control assessments
-
Compliance monitoring controls
-
Control effectiveness testing and remediation
Typical outcomes
-
Clearer linkage between risk and controls
-
More reliable compliance monitoring
-
Reduced control gaps and overlaps
-
Better evidence for audits and regulators
-
Stronger operational resilience
