McGonigle Consulting is the management consulting practice of McGonigle, P.C. McGonigle Consulting specializes in providing strategy consultation services to senior management and boards of directors of public and private companies, including broker-dealers and investment advisors. We help our clients achieve practical results with long-lasting impact.  We evaluate, oversee and monitor corporate organizations’ compliance with company policies, procedures, consent decrees, deferred prosecution agreements, and relevant laws and regulations. We are experienced in helping our clients meet unprecedented challenges inherent in creating an integrity-based environment, particularly inside companies where some level of misconduct has been detected.

McGonigle Consulting’s monitorship team conducts fact-based and unbiased assessments of an organization subject to oversight, establishes plans for improving upon identified deficiencies, develops metrics for proposed compliance improvements, and prepares detailed reports for corporate management, courts, regulators and government agencies.  We also help our clients implement and enforce robust compliance programs.

Our experienced professionals come from diverse backgrounds including law, banking, compliance, and law and regulatory enforcement.  We have subject matter expertise in banking (BSA, AML and OFAC) and anti-bribery and corruption (FCPA, UK Bribery Act). In addition to our hallmark practice areas in the financial services sector, we have expertise in other industries, such as health care, FinTech and manufacturing.  We bring extensive experience to every client engagement.

Due to their deep expertise and experience, our team of professionals have served on many occasions as independent consultants and independent monitors in the context of settlements or resolved proceedings with the SEC and DOJ. Due to the small size of our firm, we have fewer conflicts to contend with when contemplating an independent consulting or monitoring engagement. Because of our depth and our focus on delivering tailored, quality services to sophisticated clients, we are able to bring to bear on such engagements expertise that is equal or superior to that available from larger law firms.

Representative Engagements:

  • Serving as Independent Consultant to a diversified financial services company in reviewing its Rule 506 policies and procedures.
  • Serving as Independent Examiner for a Swiss banking institution in connection with the Department of Justice Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks.
  • Serving as Independent Consultant to a global financial institution to review and test its policies respecting compliance with Section 9(a) of the Investment Company Act arising out of the institution’s SEC settlement regarding its underwriting of securities.
  • Serving as Independent Monitor to a fund manager and its principal to review and assess the manager’s policies, practices, controls, recordkeeping and disclosures relating to conflicts of interest, affiliated transactions and cash management pursuant to their settlement with the SEC.
  • Serving as Independent Consultant to a broker-dealer in connection with its Municipalities Continuing Disclosure Cooperation settlement.