Phone: 213.431.6424
Regulatory Compliance
The regulatory burden and other pressures on financial institutions continue to mount. Choosing the right firm is extremely important to solving issues quickly and effectively. Our extensive experience at a wide range of institutions will allow us to quickly understand your business, understand your concerns and provide meaningful results. We have the experience to ensure your institution gets the remediation of regulatory issues right the first time.
"Great things in business are never done by one person. They’re done by a team of people.” – Steve Jobs
Regulatory Compliance Examination Management
Our team managers have real experience with regulatory examinations. Let our experience guide you through the process of a regulatory exam. Learn from us how to successfully bring your institution to compliance with rigorous regulations.
Regulatory Compliance Programs
We can assist you with creating a Compliance Program that will be more than satisfactory to regulators. We will ensure:
Whether the institution’s policies and procedures are appropriate to the risk in the products, services, and activities of the institution.
Adequacy of third-party relationship program management.
The degree to which compliance training is current and tailored to risk and staff responsibilities.
The sufficiency of the monitoring and, if applicable, audit to encompass compliance risks throughout the institution
The responsiveness and effectiveness of the consumer complaint resolution process.
Policy & Procedures
As part of the 4 pillars of Compliance, having comprehensive policy and procedures that reflect your institution is a crucial part of your institution. Let us create your policy and procedures that are specifically written for your institution. Many institutions fail to tailor their policy and procedures leaving the institution open to regulatory scrutiny and possible fines.