Compliance Management | Advisory Consulting Services | Wolters Kluwer Financial Services
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Innovative compliance management strategies aimed at mitigating risks

  • Institutions subject to consumer compliance regulations must regularly assess their programs in the context of their current activities and heightened regulatory expectations, while always maintaining a strategic view forward. Our consultants understand how regulations impact the way financial institutions do business, and can help evaluate your compliance program, identify gaps, and recommend enhancements needed to achieve and demonstrate compliance.  


    Typical engagements consist of:

    • Compliance Management System (CMS) Review
      • Board and Management Oversight and Leadership
      • Policies and Procedures
      • Employee Training
      • Internal Controls
      • Monitoring and Testing
       
    • Compliance Risk Assessment
      • Inherent Risk
      • Quality of Risk Management
      • Residual Risk
       
    • Regulatory Training
    • Consumer Financial Protection Bureau (CFPB) Diagnostic:
      • Mock Examination Using CFPB Examination Standards
      • Consideration of Regulatory Guidance and Enforcement Actions