Clarkequay Clarkequay

Operational Risk & Internal Control

Sophisticated operational risk and internal control systems were the prerogative of large financial institutions. They are now becoming available AND required for small- and medium-sized investment firms.

Together with our partner firm RMF Dr. Imfeld, Clarke Quay offers complete operational risk management and internal control systems solutions for small- and medium sized investment management firms:


  • Mitigate operational risks and enhance operational security with an Internal Control System (ICS)
  • Respond to regulatory requirements
  • Cost savings through streamlined, single-entry process
  • Improve process quality by identifying and understanding potential failure points
  • Involve various actors (operations, audit, risk, compliance) around a common platform
  • Reduce compliance risks

Key Features:

  • Process-driven approach to operational risk
  • Hands-on, easy to use, short implementation time (few weeks)
  • Web-based application – no need for infrastructure investments
  • Fully integrated multi-user, multi-company / fund system with sophisticated access control and audit trail
  • Modular approach, entirely scalable and expandable in terms of capacity and functionality


  • Definition of the operational risk framework
  • Support of the risk assessment
  • Project management / systems configuration
  • Migration from existing solutions (e.g. Excel)
  • Training