Financial services compliance

Delivering regulatory compliance consulting to help financial service organizations achieve business goals

Dedicated client services to help financial service organizations navigate complex risk environments

Understanding and navigating all-inclusive regulatory requirements and expectations can be very challenging. Staying well-informed of new and evolving regulations in financial services and other industries requires constant monitoring by expertly trained employees augmented by a highly skilled technical workforce. 

RSM consulting professionals bring you the value of their long-time regulatory compliance experience to navigate complex risk environments. Our financial service regulatory consulting advisors assist in a variety of topics including a complete understanding of regulatory changes, employing technology solutions and responding to remediations, as well as assessments of look-backs, design and effectiveness, review of enforcement actions and audits of regulatory compliance. In a world where data is an essential part of compliance management, we work with a specialized data analytics team to analyze your data and report what it means for regulatory compliance.

Our consulting professionals include former regulatory examiners and industry compliance professionals who have deep understanding of the complexity of regulations in the financial services environment. Your consulting team will be supported by our national compliance group who is plugged into federal regulatory changes, hot topics and best practices. You’ll find our personalized service, regular compliance training for your staff and high-touch involvement with our senior-level consultants brings superior value to your growing financial service organization.

RSM’s financial services team’s capabilities:

Companies in highly regulated industries must prepare for emerging regulations. RSM’s anti-money laundering (AML) consultants offer assistance in responding to AML sanctions imposed by FinCEN and other regulatory authorities.

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