Regulatory Compliance

Experience

Wolf’s team of experts understand federal and state prerequisites to assist you in meeting ever-changing compliance requirements. We provide accurate analyses of your programs—allowing you to make informed business decisions, proactively manage risk, and improve your overall compliance posture.

We offer consumer protection regulatory compliance services, with specialized expertise in Bank Secrecy Act/Anti-Money Laundering (BSA/AML), TILA-RESPA Integrated Disclosure (TRID), and the Home Mortgage Disclosure Act (HMDA). Our team possesses the necessary resources, experience, and expertise to assist businesses of all sizes every step of the way.

Clients We Serve

Expertise

  • Advisory Services
  • Anti-Money Laundering Software Validations
  • Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Audits
  • Compliance Management System Analysis
  • Lending Compliance Audits & Projects
  • Retail and Operational Audits & Projects

Stephen R. King
Principal
Insights

Developing an AML Program? What Investment Advisers Need to Know

FinCEN’s final rule requires investment advisers to establish anti-money laundering (AML) programs – here are...

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Alerts

OCC Makes Organizational Changes to Bank Supervision Functions

Smaller institutions should prepare for a potential shift in expectations. Are you confident your risk and...

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Insights

OFAC Compliance: The Critical Role of Model Validation in Sanctions Screening

How can you validate that your financial institution’s OFAC screening models are up to regulatory...

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Insights

Winning Financial Institutions’ Trust: A Fintech’s Guide to Risk Assessments

How can fintechs can build trust with financial institutions through proactive attestation reports, regulatory compliance,...

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Alerts

SEC & FinCEN Issue Proposed CIP Rule for Investment Advisers

The SEC and FinCEN’s joint proposed rule will introduce CIP compliance requirements for certain investment...

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Alerts

Enhanced Due Diligence for High-Net-Worth Individuals

The recent regulatory scrutiny of Morgan Stanley highlights the critical importance of robust EDD programs...

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Blog

A Practical Junk Fee Review

Junk fees can be ambiguous, but have you considered them from a lending perspective? Here...

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Blog

A Chief Risk Officer’s View Across the Risk Pillars

The 2023 California Bankers Association Bank Summit offered insights into the various risk factors facing...

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White Paper

Beyond the Data Fields: Preparing for Small Business Lending Collection and Reporting Implementation

The CFPB final rule on Section 1071 reporting is here. Make sure that your organization...

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Events

American Bankers Association: Risk and Compliance Conference

Wolf will be speaking at the ABA Risk and Compliance Conference.

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Events

NAFCU: Board of Directors and Supervisory Committee Conference

Wolf will be speaking at the NAFCU: Board of Directors and Supervisory Committee Conference.

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Events

Fintech Hub Forum

Wolf will be hosting the Fintech Hub Forum.

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Case Studies

Wolf’s Guidance & Integrated Risk Management Solutions Assist Concord University Through GLBA Compliance

When Concord University came up against GLBA compliance, Wolf was able to guide them through...

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Case Studies

Jordan’s Furniture – PCI DSS Compliance for a Unique Environment

With Wolf & Company, Jordan’s Furniture was able to make PCI DSS compliance a painless...

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Case Studies

Being a Trusted Advisor: The Wolf Difference

A merger left a credit union understaffed relative to its size. As industry standards outpaced...

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