Regulatory Compliance

Our Expertise

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 expertise ranges from fintech, bank, and healthcare compliance to cryptocurrency products and services. 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.

Compliance monitoring

We’ll provide a full-service compliance review and monitor your activities to ensure you stay compliant.

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.

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.

Policy and procedure development

We’ll help you develop regulatory compliance policies and procedures or assess the ones you have in place.

Training and development

Regulatory compliance is a business process that affects your entire organization. We’ll provide proper training and development for your staff.



Client Experience

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.”
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