Regulatory Compliance

Home How We Can Help You Services Risk Management Regulatory Compliance

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

Banks Perspectives
Welcome to Bank Perspectives, your hub for insights on everything from the CECL standard and changing regulations to data security and enterprise risk governance. Subscribe now.

Robert Bondy Chris Ritter

Newsletter September 4, 2020 6 min read
FDICIA readiness: Is your bank prepared?
If your bank is nearing $500 million or $1 billion in asset size, start planning now for FDICIA readiness. Advance work is crucial. Our guide helps you identify key steps to take.

Ryan Abdoo Sherrie Krowczyk-Mendoza

Article July 6, 2020 12 min read
Are PPP loans adding to the fair lending risk at your bank?

The first wave of CARES Act fair lending lawsuits has been filed, and one thing is clear: financial institutions’ actions relating to Paycheck Protection Program (PPP) loans are being closely scrutinized. How does your bank’s risk profile stack up?

Troy Snyder Brad Birkholz James Siegel Pete Hoglund

Article May 28, 2020 2 min read
How does the COVID-19 pandemic affect your recent risk assessment?

Even if you completed this year’s risk assessment for your financial institution, it’s time to look again. The COVID-19 pandemic has upended much of how you do business, and it’s critical you understand and prepare for increased risk. Consider these four ideas.

Robert Bondy Sherrie Krowczyk-Mendoza Scott Phillips

Article May 21, 2020 5 min read

View More Thought Leadership

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.”