Regulatory Compliance Management | Wolters Kluwer Financial Services
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Regulatory Compliance Management

  • Financial institutions face great challenges in managing their risks and, at the same time, complying with the laws, regulations, and internal policies that govern the industry. All of this needs to be done in a cost-effective manner.

    We leverage proven methods to build risk and compliance management frameworks for immediate impact on program management.

    Whether managing traditional and emerging risks, achieve operational excellence and comply with complex regulatory requirements.

    Compliance Risk Management
    • Policy and Procedure review, development and maintenance
    • Compliance Process Assessment and Redesign
    • Compliance Program Development or Gap Analysis to Industry Standards
    • Regulatory Change Management
    • Auditing staff augmentation for compliance reviews
    Compliance Program Effectiveness
    • Compliance Risk Assessment
    • Compliance Management System (CMS) Review
    • Compliance Monitoring
    • Transaction Reviews
    • Compliance Review
    • Mortgage Quality Control
    • Key Risk Indicator (KRI) Development
    Compliance Examination Assistance
    • Preparation
    • Mock Exam
    • Post-exam Remediation
      • Issues Tracking
      • Action Planning
    Compliance Management Technology Review
    • Automation Adequacy Evaluation
    • Market-facing Message Evaluation
    Regulatory Strategy
    • Agency Relations
    • Research Projects; regulatory, default, foreclosure, licensing, filing requirement
    • Adjustment Advice for Change in Regulator
    • Mock CFPB Exam Administration
    • Compliance Plan Creation for New Requirements
    • Mystery Shopping
    • Due Diligence
    Document Assessment and Management
    • Compliance Research Services
    • Document Package Selection Service
    • Document Assessment; compliance and UDAAP
    • Document Management Service
    • Compliance Notification Service
    • Document Customization Service
    Data Integrity and Reporting Services
    • Data Integrity Evaluation; file and data completeness review
      • CRA
      • HMDA
      • Mortgage Servicing
      • Call Reports

        Regulatory Training for Staff and Board Members