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Regulatory Compliance
Our consultants can help you develop a strategy to manage your regulatory compliance requirements so that you maximize the risk management aspects at the same time you minimize the impact of regulatory compliance on your resources.

Regulatory Compliance

Prioritize compliance risk and extend your resources

With countless compliance regulations on the books and more on the way, what can small community banks do to survive? How can large banks possibly cover all the details of compliance in so many business units? As Washington demands stronger protection for customer information and complete transparency for transactions, every institution is pushed to the limit. It is almost impossible to interpret and comply with so many regulations ranging from deceptively simple to immensely complex.

"When we have an issue that SOX won’t allow our external auditors to address, we turn to Plante & Moran. They have provided us a wealth of information relative to accounting matters, internal audit, regulatory compliance, loan review, and IT issues. They combine their technical expertise and experience in the banking industry to help us meet many of the challenges in today’s tough economic environment. It seems they are as focused on our bottom line as we are."

Mark Secor
CFO
Horizon Bank


The Plante & Moran regulatory compliance consulting professionals can help you manage your regulatory process. We can facilitate an evaluation of your compliance risk and help you apply your resources accordingly. Or we can completely take over that burden so your staff time is more productive. We’ll help you simplify your strategy, minimize the impact on your resources, and maximize the benefits of strong risk management. 

 

Customize and streamline your risk management

You can depend on our regulatory compliance experts to help you customize and streamline your risk management efforts to fit your bank’s unique situation. Because we’re in constant contact with regulators, you can be assured that the scope of the compliance coverage we recommend will satisfy their expectations.

Many members of our regulatory compliance team have worked in financial institutions before joining the firm, so they understand exactly what you are dealing with and the pressures you are facing. We know issues like the Bank Secrecy Act, identity theft protection, red flag requirements, fair lending, loan compliance, and the USA Patriot Act inside out. 

Solutions to compliance challenges

Our menu of regulatory compliance services is designed to help you take a proactive approach to risk management, monitor your ongoing compliance efforts, detect possible areas for improvement, and develop solutions. You will appreciate our cost-containment efforts as we protect your most valuable assets.

You can look to Plante & Moran's regulatory compliance consulting services to review and assess your compliance policies, procedures, and processes. When we find problems, we will suggest practical and cost-effective solutions. Whether you are looking at a new regulation and trying to interpret it for your bank or introducing a new product and need to analyze compliance implications, you can depend on our compliance team for informed counsel.

Your bank management will always be included in the process and we are sensitive to the many demands you face. Final reports will include detailed findings and pragmatic recommendations to realize improvement. Our commitment is to provide solutions.

You can bank on the Plante & Moran regulatory compliance team to help you manage your regulatory compliance risk.

Regulatory compliance services include: 

  • Review and assessment of compliance policies, procedures, and processes 
  • Independent testing 
  • Compliance risk assessments 
  • Interpretation of regulatory guidance and development of implementation plans 
  • Analysis of compliance implications of new products and services 
  • Policy and procedure development 
  • Training and development of employees 
  • Examination preparation

Contact Us

Elizabeth Snyder

312.980.3369

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"Plante Moran has provided us with timely and value-added audit and SEC reporting services. Their experienced auditors were thorough in their approach. They offered suggestions at interim that resulted in efficiencies at yearend and they provided sound technical guidance during their review of our SEC filings. Our prior auditors had been in place for more than 25 years. The transfer to Plante Moran was an efficient process with no operational or reporting disruptions. We are very pleased with the selection of Plante & Moran as our auditors."

Robert T. Lowry, CFO
Peoples Bank