You are here

Providing Exceptional Regulatory Compliance Services

Wolf & Company provides regulatory compliance services and consulting for clients throughout the Northeast, New York, and New Jersey. As a top regional accounting firm, our expert regulatory compliance team analyzes both federal and state regulatory prerequisites, and assists in meeting regulatory burdens as well as providing training and instruction on current and future requirements.

To assist you in meeting your regulatory obligations, our regulatory compliance services continue beyond the engagement field work. Our methodology combines a deep understanding of required regulations, agency interpretation, and industry best practices. Throughout the year, regulators will review our audit programs and discuss their execution with us. We incorporate the feedback received so we can provide our clients with the most accurate and current analysis allowing you to make the most informed business decisions.

How We Help

Organizations in heavily regulated industries are facing consistently tightening controls on how they conduct business. Whether you are a bank, financial institution, investment advisor, or publicly traded company, Wolf & Company can provide guidance that blends legal expertise and industry experience.

Wolf’s regulatory compliance 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 organization's unique situation to provide the most accurate and effective information.

Regulatory Compliance Issues We Solve

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