Regulatory Compliance

Develop a compliance approach and internal audit plan that suits your risk environment, adheres to regulatory guidance, and can help implement strategic practices and improve efficiencies.

Improve compliance strategies and avoid the consequences of noncompliance by evaluating compliance risk and testing compliance programs.

How Compliance Helps Your Organization

Maintaining regulatory compliance can provide financial security as noncompliance risks organizations paying steep penalties.

Additional benefits include:

  • Boost business performance and shareholder value
  • Strengthen customer confidence and reputation and branding
  • Increase cybersecurity and counter risks
  • Maintain operational continuity and stay competitive

Key Focus Areas

Reviewing your lending and deposit processes as well as offered products and services to determine they comply with relevant regulations—including advertising requirements and the Bank Secrecy Act—our professionals can assist with assessing current activities for compliance with state and federal regulations.

A findings report delivered to directors and any requested independent consultants will include a summary overview for nontechnical readers and supporting detailed reports that identify problem areas and outlines solutions to remediate issues.

Our professionals provide insight to:

  • Deposit and lending regulations
  • Programs and controls monitoring
  • Compliance management systems
  • Fair lending
  • Community Reinvestment Act
  • Financial Institutions Reform, Recovery, and Enforcement Act (FIRREA) and appraisals
  • Vendor management

Industry Expertise

Matching deep industry experience spanning 35 years with creative strategies uniquely tailored to your organization, our professionals can help with tax, assurance, and consulting solutions while uncovering timely opportunities for growth.

Our professionals are solely dedicated to financial services clients with a deep understanding of common risk areas and best practice recommendations—bringing passion, expertise, and a spirit of active collaboration to each engagement.

We serve more than 2,200 financial services and financial institutions clients nationwide. Our programs are based on in-depth risk evaluation to focus work on areas that represent the greatest exposure and assisting clients in strengthening controls and improving processes.

Primary Contact