COMPLIANCE TRANSFORMATION

Compliance Simplified: Focus on What Matters

How a financial services firm reduced compliance costs by 60% while improving audit scores

By identifying that 20% of compliance requirements drove 80% of regulatory risk, we helped transform a bloated compliance function into a lean, effective operation.

-80%
Active Policies
2,000+ → 400
-60%
Compliance Cost
$12M/year → $4.8M/year
-80%
Employee Time
15 hrs/month → 3 hrs/month
+33%
Audit Score
72% → 96%

The Challenge

Death by a Thousand Policies

Our client had accumulated over 2,000 compliance policies over 15 years. Teams were paralyzed by conflicting requirements, audit findings were increasing, and nobody knew which rules actually mattered.

2,000+ policies creating analysis paralysis
Average employee spending 15 hours/month on compliance
Audit findings increased 40% year-over-year
Compliance team of 50 still overwhelmed
$12M annual compliance budget with poor ROI

The UTLYZE Solution

The Critical Compliance Core

We analyzed regulatory citations and audit findings to identify the 400 policies that actually prevented violations. Then we simplified, automated, and focused.

Data-driven analysis of regulatory risk sources
Identified 400 critical policies (20% of total)
Created simple, clear guidance for each
Automated monitoring for high-risk areas
Built exception-based reporting system

Transformation Results

Active Policies

-80%
Before:2,000+
After:400

Compliance Cost

-60%
Before:$12M/year
After:$4.8M/year

Employee Time

-80%
Before:15 hrs/month
After:3 hrs/month

Audit Score

+33%
Before:72%
After:96%
"
We went from drowning in policies to actually preventing problems. UTLYZE showed us that more rules don't mean better compliance - focus does.
David Chen
Chief Compliance Officer, National Financial Services

The UTLYZE Methodology

Analyze & Prioritize
1Analyzed 5 years of regulatory citations
2Mapped policies to actual risk events
3Identified the 20% driving 80% of risk
4Simplified and clarified critical policies
5Built monitoring for what matters most

Ready to Find Your 20%?

Let's identify the critical few changes that will transform your compliance operations

Your Next Steps:

Assess your compliance complexity score
Identify your critical risk drivers
Build a focused compliance strategy
Reduce cost while improving outcomes
Start Your TransformationTake the Assessment