Regulatory Compliance

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We’ll make regulatory compliance standards easier to navigate.

Regulatory compliance requirements continue to grow as regulators demand greater information transparency and stronger protection for consumers and customer information. Our experts will help you navigate these regulations, minimize their impact, and protect your organization.

Our regulatory compliance services span various industries, ranging from fintech and bank compliance, to healthcare compliance. Many of our experts are also former examiners or compliance department executives and certified regulatory compliance managers (CRCM).

We’ll help you take a proactive approach to governance risk and compliance by assessing your ongoing compliance efforts, identifying possible problems, and recommending solutions. We’re here to help you understand and prepare for new compliance requirements before they affect your organization.

A proactive approach to regulatory compliance requirements.

Our regulatory compliance services include:

Compliance interpretation and guidance: We’ll help you interpret arduous regulatory compliance requirements and provide guidance on how to integrate those requirements into your standard business processes.
Policy and procedure development: We’ll help you develop regulatory compliance policies and procedures or assess the ones you have in place.
Compliance monitoring: We’ll provide a full-service compliance review and monitor your activities to ensure you stay compliant.
New products and services: If you plan to launch new products or services, we’ll analyze those products and services to determine any compliance implications.
Independent testing: For regulatory compliance standards that require independent testing, such as Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance, we’ll work with your team to evaluate the effectiveness of your compliance program and implement stronger controls if needed.
Training and development: Regulatory compliance is a business process that affects your entire organization. We’ll provide proper training and development for your staff.

Related services

Enterprise Risk Management Technical Accounting Advisory

Regulatory Compliance Thought Leadership

CMS hospital price transparency: Are you compliant?

As of July 2021, less than 6% of hospitals were compliant with the CMS hospital price transparency rule. Crackdowns are coming, and fines aren’t the only thing you’ll risk if you fail to comply. Here’s what to know now.

Katy Dettman Erik Tauschmann

Article September 8, 2021 3 min read
Guidance implementing beneficial ownership disclosure rules is on its way

Wondering how the new beneficial ownership disclosure requirements might affect you? While we’re waiting for further guidance from the IRS, our tax experts break down what we already know.

Michael Monaghan Kurt Piwko Stephen Eckert Brett Bissonnette Josh Bemis

Article August 19, 2021 9 min read
Right-size your BSA/AML model risk management

Many financial institutions have questions about the recent interagency statement on BSA/AML model risk management. We share some key takeaways and steps to help your organization right-size its BSA/AML model risk management practices, originally published in Bank Director magazine.

Robert Bondy Brad Birkholz James Siegel

Article July 14, 2021 1 min read
No Surprises Act: Ensure compliance at your healthcare organization

Congress has passed the No Surprises Act, which becomes effective on Jan. 1, 2022. Here’s what the bill will mean for you and how to keep your organization compliant.

Katy Dettman Erik Tauschmann

Article June 24, 2021 2 min read

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Our clients say

The regulatory compliance team at Plante Moran is an invaluable resource, particularly in today’s increasingly complex regulatory environment. They bring experienced bankers to the table to help us solve regulatory compliance and BSA/AML issues as they arise. Whether it’s a thorough, formal review engagement in anticipation of a visit from the regulators, or a quick phone call to inquire about an emerging compliance issue at the bank, they are always available to provide timely, practical advice that hits the mark every time.

Bill Gleason President & COO, Leaders Bank

Future-focused expertise you can rely on

New regulations and industry evolution are inevitable. We’ll not only help you comply with current regulations but also stay ahead of new ones.

Our experts are future-focused and bring that perspective to each and every engagement. But we don’t stop there. “We strive to be your trusted advisor, which starts with the personal relationships we develop with each client,” says Troy Snyder, a leader in our risk and accounting advisory services practice. “By understanding you, your organization, and your industry, we can provide practicable and timely advice.”