Regulatory Compliance for Specialty Lending

Value beyond compliance for specialty lenders

The Consumer Financial Protection Bureau (CFPB) has expanded its oversight to cover not only banks, thrifts and credit unions, but also a wide variety of other entities, ranging from mortgage companies to debt collection agencies to specialty lenders of varying descriptions.

This is the time for a holistic, integrated examination of your risk management and compliance practices. A time not only to align those practices with requirements driven by the CFPB's expanding role, but also to create a flexible, yet disciplined approach that positions your organization to continually adapt to the evolving regulatory environment.

For decades, we've been leading compliance advisors, helping financial institutions develop proven risk and regulatory management strategies to address the same challenges that are now confronting specialty lenders.

CFPB Readiness—Rapid Assessment

Compliance management, operational controls and technology assessment

A quick-hit assessment for your specialty finance organization

Our Rapid Assessment® provides you with a custom assessment of your risk exposure, providing guidance and advice on potential process gaps, realistic action plans and remediation timelines. We pair our regulatory experience with your unique knowledge of your business strengths and weaknesses.

Our consultants analyze your compliance, operational and information technology processes to assist you in developing a roadmap to success. The Rapid Assessment results in a business analysis that helps highlight gaps and develops tailored action plans to remediate high-risk situations.

We also provide:

Regulatory compliance newsletters and webcasts
Quarterly, you receive a complimentary copy of our compliance newsletter, containing financial institution regulatory compliance ideas, education and updates. We also provide periodic webcasts on regulatory compliance hot topics, so you have the information you need to stay on top of changing events.

RSM is a recognized leader in providing regulatory compliance services to financial institutions across the country. As a firm, we've made a significant investment in maintaining our reputation as one of the country's pre-eminent compliance firms. Regulatory compliance is too important to ignore—and too important to trust to just anyone. We've gained the respect of hundreds of financial institutions, nondepository lenders, collection companies and regulators.

Popular Insights

Managing compliance demands for specialty finance organizations


Managing compliance demands for specialty finance organizations

A compliance risk assessment is imperative in implementing a properly scaled compliance management system to address increased regulatory expectations.

  • Andrew Amrine
RSM creates proactive assessment to prepare collection agencies for CFPB audit


RSM creates proactive assessment to prepare collection agencies for CFPB audit

RSM was approached by CBE Companies' (CBE) third-party debt collection business unit, CBE Group, and asked to develop a proactive business assessment.


Why a compliance knowledge center is the best approach for addressing the Dodd Frank regulatory deluge

How a compliance knowledge management center can position your bank to succeed in today’s difficult regulatory environment

  • Ty Beasley

How can we help you?

To discuss how our team can help your business, contact us by phone 800.274.3978 or


Sonja Kriegsmann, JD
National Regulatory Compliance Manager

Ty Beasley
Regulatory Compliance National Leader

Rapid Assessment®

Complete our Rapid Assessment form to be contacted about receiving our quick-hit diagnostic of your critical areas of operations


Compliance News
Compliance news for the banking and investment industry. Gain insights about the latest compliance news and how it will affect your business.

Risk Bulletin
A quarterly publication sharing information, trends and strategies to help you manage and mitigate risks at you organization when it matters most.