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 risks and controls
More reliable compliance monitoring
Reduced control gaps and overlaps
Better evidence for audits and regulators
Stronger operational resilience
