Developing a Global Compliance Risk Management System

Opportunity 

A global network of accounting, tax and consulting firms needed a secure, scalable solution to manage personal independence compliance across its worldwide workforce. With thousands of client-facing professionals working across dozens of countries, the firm faced strict regulatory requirements to ensure that its employees had no conflicts of interest with the companies they served. 

Previously, this process—designed to identify potential conflicts related to personal investments, loans or affiliations—was slow and largely manual, often taking three to four weeks to complete per employee. As regulatory scrutiny intensified and the firm accelerated global growth, the need for a unified, modern platform became urgent. The goal: streamline the process, maintain airtight compliance across geographies, and enable faster onboarding of professionals to client engagements. 

Solution 

Tential was initially brought in to support the U.S. version of the Compliance Risk Management System. Based on early success—marked by fast ramp-up, low defect rates and high performance—Tential was selected to lead development of a Global Compliance Risk Management System: an enterprise-scale platform designed to support risk and independence compliance across more than 30 territories. 

To ensure the highest standards of performance, security, and compliance, the application was subjected to a comprehensive set of reviews and testing checkpoints prior to each deployment or onboarding of a new territory. These included:

• WASA (Web Application Security Assessment): Included automated scans via SonarQube and Veracode to identify and address code quality issues, vulnerabilities, and adherence to secure coding practices.
• Security & Penetration Testing: Thorough internal and third-party testing ensured the platform remained resilient to known and emerging threats.
• Performance Testing: Assessed system responsiveness and stability under load to ensure a seamless user experience at scale.
• TRF (Technical Risk Framework Assessment): Evaluated technical risk across architecture, dependencies, and operational controls.
• ARR (Application Readiness Review): A critical checkpoint covering:
  • Application Readiness Assessment
  • Network & Information Security Validation
  • TPRA (Third Party Risk Assessment) to evaluate external dependencies and vendor risks

The platform successfully met or exceeded standards across all these areas, reinforcing its stability, scalability, and alignment with PwC's global IT governance and compliance frameworks.

End-to-End Ownership 
Tential evolved from one of five vendors to the exclusive technology delivery partner. The Global Compliance Risk Management System team is now staffed with over 37 dedicated professionals from Tential, spanning engineering, architecture, QA and production support. The team owns all aspects of technical delivery and collaborates directly with client stakeholders on roadmap development, compliance updates and ongoing optimization. 

Regulatory-Ready Architecture 
Global Compliance Risk Management System automates the review of personal holdings, alerting professionals to any conflicts and providing guidance on required actions, including divestment or account reassignment. The platform is built for scale and localization, incorporating country-specific compliance rules, data residency requirements (e.g., Germany’s mandate for in-country data storage), and multilingual capabilities. 

Flexible Resourcing Model 
As project demands evolved, Tential adapted with a hybrid delivery model—balancing onshore, nearshore and offshore resources to maintain velocity while optimizing cost. Today, the support model spans 24/7 production coverage, with escalation paths and L3/L4 support led by senior engineers embedded in the client’s ecosystem. 

Enterprise-Grade Execution 
The platform is subject to rigorous testing—from penetration and security testing to regulatory audits. Its ability to meet and exceed these benchmarks has positioned Global Compliance Risk Management System as one of the client’s most trusted systems. 

Results 

Tential’s delivery of Global Compliance Risk Management System has created both immediate business value and long-term strategic impact: 

• $40M+ in Savings 
  Program sponsors estimate the initiative has saved the firm over $40 million through process automation, faster onboarding and reduced compliance risk. 

• 80–85% Reduction in Onboarding Time 
  What once took up to four weeks now takes as little as four to five days—vastly accelerating client service readiness. 

• Global Adoption, Zero Rollback 
  The platform has been successfully deployed across North America, Europe, Asia-Pacific and beyond. Every territory where it has launched continues to operate on the platform—no rollbacks, no major issues. 

• Executive-Endorsed 
  Global Compliance Risk Management System has the attention of the firm’s most senior leaders—including the Global CEO, U.S. CEO and U.K. CEO. One sponsor described the application as “tip-of-the-spear,” noting it helps define what’s acceptable to regulators and keeps the firm ahead of its peers. 

• Recognized Delivery Excellence 
  Program leaders consistently praise the collaboration and precision of the Tential team. One sponsor commented: “Expectations were high—and the team has met and exceeded them.” Another added: “This is how projects should be run.” 

• Partnership Expansion 
  The trust built on Polaris opened the door to deeper engagement. Several senior leaders have brought Tential into additional strategic initiatives based on the success of this program. 

By transforming a manual, fragmented compliance process into a secure, scalable global platform, Tential helped one of the world’s most respected professional services firms protect its independence, accelerate onboarding and reduce risk. Global Compliance Risk Management System now stands as one of the firm’s most high-profile, mission-critical applications—reinforcing Tential’s role as a trusted long-term partner. 

As compliance requirements grow more complex and global operations more interconnected, Global Compliance Risk Management System offers a blueprint for how thoughtful engineering, flexible delivery and deep partnership can fuel lasting transformation. 

High Stakes. High Standards. High Impact. 

Global Compliance Risk Management System wasn’t just another project—it was the project. Mission-critical. Highly visible. Zero room for error. And while others might have hesitated under that pressure, Tential delivered with confidence. 

We didn’t just meet the moment—we helped define it. Our team embedded deeply, scaled thoughtfully and earned trust at every level of the organization—from project managers to the firm’s global leadership. By staying adaptable, proactive and focused on outcomes, we didn’t just support a system—we helped build a global standard. 

In simpler terms: when the stakes were highest, Tential was the partner they called.