Regulatory Compliance

Helping you navigate a complex regulatory environment

Compliance with regulatory requirements and expectations can be a challenge, if not an outright struggle, for growing companies. Keeping up with new and changing regulations in financial services and other industries requires constant monitoring and a highly skilled technical workforce.

RSM works with banks, credit unions, credit card companies, and many other organizations to navigate complex risk environments. We can help you understand regulatory changes; employ technology solutions; and respond to remediations, look-backs, design and effectiveness assessments, enforcement actions and regulatory compliance audits. In a world where data has become an essential part of compliance management, we work with a specialized data analytics team to help you analyze your data and what it means for regulatory compliance.

How can we help you?

Contact us by phone at 800.274.3978 or request more information by email. 

RSM collaborates with your compliance department to assess the current state of your program, perform gap assessments and analysis, and address potential deficiencies identified through regulatory examinations. If you already have a compliance management system in place, we can help you build upon your existing framework; if not, our team can assist in creating one that aligns with your risk profile.

Trusted regulatory advisers

RSM delivers regulatory compliance consulting services through dedicated client service teams comprising local, regional and national advisers. Many of our practice leaders are former federal regulators and industry professionals. In addition, many of our team members have earned professional certifications, including CRCM, CAMS, CCBO and CIA.

As trusted regulatory advisers, we provide our clients with insights on emerging regulatory issues through publications, webcasts, email updates and personal contact throughout the year.

RSM’s team of dedicated professionals can work with you to navigate compliance in many areas, including:

Compliance management systems—assessment of system design and effectiveness, including governance structure, written program elements, and monitoring/audit and training.

Compliance risk assessment—documentation and evaluation of existing assessments with recommendations for improvement.

Home Mortgage Disclosure Act (HMDA)—data integrity testing and analysis of fair lending risk factors.

Fair lending—evaluation of fair lending compliance programs, risk assessment and comparative file reviews.

UDAAP—testing and remediation of unfair, deceptive or abusive acts and practices.

Mortgage Electronic Registration System® (MERS)—annual third-party reviews of MERS requirements as set forth in the MERS System Procedures Manual.

Alphabet regulations—compliance with everything from Reg A to Reg Z and beyond.

Anti-money laundering sanctionsassistance in responding to AML sanctions imposed by FinCEN and other regulatory authorities.

AML model validationindependent validation testing of AML models and systems, including suspicious activity monitoring, customer risk scoring and sanctions screening.

Global anti-bribery and anti-corruption compliance and integrity services – building a framework to support sound, compliance-based decisions as it relates to accurate books and records and incorporate the use of data analytics to monitor areas of high risk.

Why RSM?

RSM is a leading regulatory adviser to growing companies. We combine the scale of a national practice with a high level of personal attention from seasoned regulatory professionals with access to data analytics, big data and other technology tools.

We welcome the opportunity to learn about your specific needs and demonstrate our ability to serve you.