Regulatory Compliance

Financial institutions have strict controls on how they conduct business. Complex requirements make it essential to have a partner that blends legal expertise and banking experience. Wolf & Company analyzes both federal and state regulatory prerequisites, and assists in meeting regulatory burdens as well as provides training and instruction on current and future requirements.

Wolf’s compliance consulting team delivers insightful and comprehensive solutions including creative design and implementation of compliance management systems, specialized skills training, and evaluation of existing systems and processes. Using a customized approach, our consultants scrutinize and evaluate each financial institution’s unique situation to provide the most accurate and effective information.

Services include:

• Retail, lending, and operational regulatory compliance audit and monitoring reviews
• Compliance risk assessments
• Compliance management system development and/or evaluation
• Customized compliance officer training
• Bank Secrecy Act program evaluation and/or audit
• Anti-money laundering software validation testing
• Customized institutional practice compliance training
• Specialty project engagements
• Retainer/research engagements

To assist you in meeting your regulatory obligations, our services continue beyond the engagement field work. Our methodology combines a deep understanding of required regulations, agency interpretation, and industry best practices. We provide you with a complete evaluation – which allows you to make the most informed business decisions.

Download a PDF to learn more about our Regulatory Compliance services.

Download a PDF to learn about 10 Steps to Help Investment Advisers Remain in Compliance.