Lead sponsors

ACL provides a data-driven governance solution which is simple to use, quick to implement and designed for the 1st line. It supports with the implementation, monitoring and remediation of the risk and control framework and makes use of unique data analytics technology to provide continuous assurance that control processes are working as expected.


Grant Thornton UK LLP is one of the world’s leading organisations of independent assurance, tax and advisory firms. We work with dynamic organisations helping them unlock their potential for growth.

Our specialists have extensive front office experience of compliance, product control, operational risk and managing regulatory change. We help our clients by supporting a first line of defence construct, establishing a front office supervisory framework, streamlining and establishing optimal resource and offering assurance over SM&CR elements.


Nasdaq is a leading global technology provider – offering a diverse portfolio of solutions to empower transparency and deliver insight for navigating today’s global capital markets.

Nasdaq’s comprehensive risk management and execution infrastructure tools can help to minimize risk in global trading environments, reduce operational costs and reallocate resources to revenue generating opportunities, while Nasdaq’s robust, cross-market, cross-asset, multi-venue surveillance and supervision technology simplifies the monitoring process by distilling complex information into a single snapshot and enabling firms to proactively discover and investigate suspicious trading activities.



Digital Reasoning is a global leader in artificial intelligence that understands human intentions and behaviors. Our award-winning conduct surveillance solution is used by global banks to identify conduct risk and defend reputations.

Digital Reasoning pioneered the application of AI-enabled communications analytics to first and second line controls among the world’s leading investment banks. Continual investment in our conduct surveillance solution is enabling our clients to evolve their surveillance capabilities and meet the challenges of a regulatory environment in which only a combined analysis of behaviours, intentions, and emotions can deliver the human-centric insights that accurately describe conduct risk.


New Link Consulting provides best-in-class consulting services to our clients in the financial services industry, including buy-side, sell–side and market intermediaries. We combine deep industry and practitioner knowledge with change management skills to deliver our services.

New Link Consulting have comprehensive experience providing practitioner expertise into multiple clients in different market sectors, including investment banks, multi lateral development banks and asset managers. Our insight allows clients to create and maintain a robust control / supervisory framework effective against risk.


Parker Fitzgerald provides strategic advice and consulting to leading financial institutions, helping them navigate critical issues, reduce complexity and improve their overall risk-adjusted performance.

We offer a range of proven 1 LOD accelerator tools such as methodologies, frameworks and maturity models. Our team are well-versed in translating policies into a globally integrated, efficient and cost-effective risk management framework that helps to reduce risk and enables efficient capital usage and allocation.


John Baskott

Welcome to 1LoD's 2018 Annual Report and benchmark study, the largest and most comprehensive survey ever conducted on the front office control sector. This year's report takes insights from the results of our 86-part survey answered by 21 of the world’s largest financial institutions. We hope you enjoy reading the findings and thank you to everyone who contributed to making it a success. To find out more about upcoming events, training courses and other content from 1LoD visit www.1lod.com

John Baskott, co-founder, 1LoD

Researched and published by


Lead sponsors

Grant Thornton


Partner sponsors

Digital Reasoning


Parker Fitzgerald