Strategic Advisory Solutions
Why Strategic Advisory matters
Turn strategy into measurable execution
Effective risk management takes more than a framework or maturity assessment. Institutions need hands-on support to turn recommendations into configured platforms, tested thresholds, and defensible documentation. Sigma360 bridges that gap, with senior practitioners directly involved from scoping through delivery.
Material
False-positive reduction
Statistical testing reduces unnecessary alerts while maintaining risk coverage.
~50%
Faster validation cycles
A structured model inventory and reusable evidence pack accelerate each revalidation.
3-6 mo
Platform delivery acceleration
Experienced implementation leaders shorten timelines and reduce execution risk.
Auditable
Audit and regulator ready
Every engagement includes documentation built for internal audit and regulatory review.
Common Execution Gaps
Strong policy depends on consistent execution
Regulatory and audit findings often trace back to execution gaps: incomplete data, untested thresholds, or insufficient evidence behind model decisions.
01
Incomplete data limits visibility
Data loses fidelity as it moves between systems. Source-to-monitoring lineage demonstrates that the data reaching the model is complete and accurate.
02
Thresholds are not routinely reassessed
Rules accumulate and typologies evolve. Without periodic testing, thresholds consume review capacity while leaving gaps in coverage.
03
Model decisions lack supporting evidence
A model may perform well yet lack evidence of soundness, tuning rationale, or ongoing performance. That gap turns a technical issue into a governance concern.
Incomplete data creates noisy alerts, noisy alerts drive untested threshold changes, and undocumented changes are hard to defend. Sigma360’s five disciplines address these dependencies together or in any combination.
Advisory Capabilities
Explore each discipline, its core capabilities, and the outcomes it supports.
Select the right platform and translate strategy into a working solution
End-to-end platform support spanning vendor selection, implementation, integration, migration, and ongoing optimization across leading AML, sanctions, and KYC technologies.
- Vendor selection & RFxRequirements, market analysis, RFP and POC management, and negotiation support.
- Implementation & buildArchitecture, configuration, testing, and documentation built for regulatory review.
- Integration & migrationSource ingestion, downstream feeds, cloud migration, parallel runs, and decommissioning.
- Post-implementation supportPost-go-live tuning, release management, and continuous improvement.
Reduce unnecessary alert volume while strengthening targeted risk coverage
Statistical testing, tuning, and scenario optimization focus review capacity on the alerts that carry the greatest potential risk.
Every threshold change is supported by ATL/BTL testing and a documented effectiveness report.
- Threshold TuningAbove- and below-the-line testing, optimization, and effectiveness reporting.
- Customer & risk segmentationBehavioral and risk-based segmentation aligned with typologies and risk appetite.
- Rule & scenario rationalizationScenario-library review, redundancy reduction, and coverage-to-typology mapping.
- Alert-volume optimizationControlled hibernation and suppression frameworks that improve reviewer productivity.
- Governance DocumentationIn support of rule-based decisions, creation, and maintenance.
Model risk management designed for regulatory scrutiny
Sigma360 designs and operationalizes MRM programs aligned with FRB SR 11-7, subsequent 26-2, OCC Bulletin, with documentation prepared for internal audit, independent validation, and regulatory review.
- MRM framework and on-going policiesPolicies, standards, roles, and procedures across the model lifecycle.
- Model inventory & tieringDiscovery, taxonomy, materiality tiering, and central inventory implementation.
- Documentation and evidenceDevelopment documents, validation reports, change logs, and performance reviews.
- Issue & finding managementRemediation tracking, attestations, escalation, and committee reporting.
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AI Discovery & Inventory
Effective AI governance starts with visibility into the tools and models your organization uses.
- What AI tools/models are currently in use, sanctioned and unsanctioned?
- Which ones touch sensitive or regulated data?
- Who approved them, and who’s accountable if something goes wrong?
- Are any of them making decisions that affect customers, employees, or compliance outcomes?
Independent testing with clear separation of responsibilities
End-to-end effectiveness assessment, DFS Part 504 ready, across conceptual soundness, outcomes analysis, benchmarking, and ongoing monitoring for AML, sanctions, and customer-risk models, with validation responsibilities kept separate from implementation and operations.
- Conceptual soundness assessmentReview of methodology, design, typology coverage, and stated assumptions.
- Outcomes & process testingReplication, sensitivity, stability, and back-testing of detection performance.
- BenchmarkingChampion-challenger analysis, peer comparison, and detection-gap identification.
- Ongoing monitoringPeriodic effectiveness reviews, drift detection, and trigger-based revalidation.
Build a stronger data foundation for detection and decisioning
FCC-grade data architecture and quality, from source-to-monitoring lineage to a unified financial crime data layer supporting detection, investigation, analytics, and reporting.
- Source-to-monitoring lineageEnd-to-end lineage and impact analysis mapped to control points and regulatory expectations.
- FCC data platform or lakehouseReference architecture for unified party, transaction, alert, and case data.
- Data quality frameworkQuality rules, scorecards, remediation workflows, and ongoing controls.
- AI and analytics enablementGoverned feature and vector stores prepared for analytics, ML, and investigator assistance.
Focused Advisory Engagements
Repeatable engagements with a clear scope and defined deliverables, delivered independently or as part of a wider initiative.
FC Risk Ratings for Investment Advisers
A focused risk-rating service for SEC-registered investment advisers preparing for FinCEN AML/CFT requirements
Multi-factor risk scoring across geographic, customer, product, and channel risk
Ongoing watchlist and adverse media screening for advisers, clients, and beneficial owners
Periodic KPI scorecards, threshold alerts, and trend analysis
Annual recertification with examination-ready documentation
Enhanced Screening Services
Network-risk screening that evaluates the named party and the relationships connected to it.
Network-risk mapping with beneficial ownership and counterparty analysis
Ongoing adverse media and relationship-graph monitoring
Detection of indirect exposure through ownership, control, or transactional links
Continuous surveillance with a clear audit trail of changes and decisions
Targeted Remediation and Investigations
Focused lookback reviews and remediation investigations that reduce backlogs and produce regulator-ready evidence.
Alert-backlog reduction through prioritized review and flexible capacity
SAR-quality case files with investigation records and narrative drafting
Lookback reviews against updated typologies, thresholds, or risk policies
Issue remediation with root-cause analysis and closure documentation
Backlog clearance on queued EDD files through prioritized, risk-ranked review and flexible analyst capacity, executed against your own EDD policy, procedures, and file standards rather than a generic template. Source of wealth, beneficial ownership, adverse media, and sanctions dispositions are documented to your required evidence thresholds and approval workflows, producing audit-ready files that close consistently and hold up on examination.
Engagement Approach
A focused diagnostic, a clear scope, senior-led delivery, and a practical transition plan.
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01
Diagnose
A focused review of the relevant area: data flows, tuning configuration, model inventory, or platform state.
Output: findings, prioritized gaps, and a scoped recommendation -
02
Design
The target state is aligned with first line, second line, and validation stakeholders before work begins.
Output: target state, delivery plan, and acceptance criteria -
03
Deliver
Senior practitioners execute the work, developing supporting evidence throughout the engagement.
Output: implemented changes and the evidence supporting them -
04
Sustain
Handover, training, and optional managed support preserve the improvement over time.
Output: operating procedures, KPIs, ownership, and a review cadence
Advisory Leadership
Sigma360’s advisory leaders bring decades of experience across AML operations, federally overseen remediation, financial crime technology, and national security risk.
Brett Manwaring
Head of Advisory & Technology Services at Sigma360
Brett has led complex regulatory engagements, including federally overseen transaction lookbacks, with work spanning AML technology modernization, model optimization, and end-to-end program remediation for global financial institutions.
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Stuart Jones, Jr.
Founder & CEO, Sigma360
Stuart is a former senior U.S. Treasury official with 20 years of risk and compliance experience in Washington and abroad, and a former EY executive leading compliance remediation in emerging markets. He founded Sigma360 at MIT.
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Advisory informed by platform and engineering expertise
Strategic guidance grounded in how financial crime technology works
Sigma360 combines a risk intelligence platform with a strategic advisory practice. Advisory practitioners work alongside product and engineering teams and understand screening logic, entity resolution, and adverse media models at a technical level, so implementation implications are defined clearly and recommendations stay product-independent.
Strategic Advisory engagements do not require a Sigma360 platform commitment. Vendor-selection work remains vendor-agnostic.
Where advisory and technology connect
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Validated, audit-ready infrastructure
Sigma360 meets the rigorous security and governance standards of regulated institutions, so compliance programs stand up to scrutiny.
Monitoring
Screening
Superior screening performance independently confirmed.
External testing validated Sigma360’s performance against the incumbent provider. Read the announcement 03 / Security & governance
Secure, governed, and explainable by design.
- 100% auditable and explainable AI
- Model Governance Committee oversight
- Multi-framework privacy program
Trusted Worldwide
We needed more than a vendor. We needed a trusted partner... The result is a sanctions program that’s faster, more accurate, data-driven and built for where Rippling is going.
Sigma360’s PEP, sanctions, and blacklist screening solution is truly best-in-class. The platform’s quality and reliability have exceeded expectations... implementation was incredibly seamless and easy.
Sigma360 has enabled us to expand into new markets with confidence. The platform’s continuous monitoring gives us real peace of mind... background checks fast and efficient.
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