Compliance Management | Wolters Kluwer
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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
    • Curriculum Development
    • Custom Instruction Services
    Consumer Financial Protection Bureau (CFPB) Diagnostic
    • Mock Examination Using CFPB Examination Standards
    • Consideration of Regulatory Guidance and Enforcement Actions