Compliance Program Management

The rapid development of new financial services business models (and related technology) along with an uncertain legal and regulatory framework for these businesses has created challenges for financial services firms of all sizes. We offer a range of services, including high level strategy, regulatory roadmaps, development and implementation of risk management programs, establishing governance protocols and installing operational efficiencies that can help forge a path through these obstacles.

Areas of Focus

  • Consumer protection

  • Fair Lending

  • Unfair, deceptive, or abusive acts (UDAAP)

  • AML/OFAC programs

  • Anti-bribery and corruption programs

  • Information security and privacy

  • Cybersecurity

Compliance Program Development

  • Strategic planning

  • Compliance obligation mapping

  • Guidance on compliance management system (CMS) structure

  • CMS development and implementation

  • Policies and procedures

  • Systems and processes

  • Risk assessments

  • Governance, structure, and staffing review

  • Risk metrics and reporting

  • Subpoena and law enforcement requests

  • Vendor management

  • Regulatory change management

  • Training programs (including board training)

Compliance Program Assessment and Enhancement

  • CMS assessment

  • Compliance program evaluation

  • Compliance program efficiency review

  • Program gap assessments and improvements

  • Staffing reviews

  • Systems evaluation and risk parameter reviews

  • Testing, audit, and quality control reviews

  • Monitoring and reporting analysis

  • Regulatory examination support (mock exams and exam preparation)

  • Regulatory issue remediation