Regulatory Compliance

BDO Consulting’s Regulatory Compliance practice assists financial institutions and organizations with regulatory requirements and industry standards by addressing the risks associated with noncompliance in the dynamic area of financial institution regulation. We provide bank regulatory services to a broad cross-section of the financial services industry, including domestic and foreign banks, broker/dealers, insurance companies and large money services businesses.

Our professionals, who have held positions as banking regulators, compliance officers and banking executives, are accomplished problem solvers with diverse specialty areas of knowledge including IRS 1441/qualified intermediary; the Bank Secrecy Act; fair lending, data privacy and information security; and bank holding company–related regulations.

Our Services

  • Corporate governance
  • Organizational structures
  • Bank holding company programs
  • Federal and state regulatory compliance
  • Risk assessment documentation
  • Tailoring policies and procedures
  • Enterprise-wide and specialized training and recordkeeping
  • Organizational optimization
  • Independent testing

Technology

Financial institutions today require more automated solutions and an ability to capture, analyze and report compliance risk and effectiveness in a quantitative and qualitative manner. Compliance technology solutions must be capable of integrating the front, back and middle offices.

Training

Our professionals provide clients with cost-effective and comprehensive training programs designed to provide in-depth compliance content. To meet our clients’ needs, we deliver compliance training programs in both Web-based and classroom environments.

Our Professionals

BDO Consulting understands the importance of having top-level professionals directly involved in each engagement. Our multidisciplinary team of banking professionals includes former senior bank officers, regulators, certified public accountants, certified fraud examiners, forensic accountants, licensed private investigators, technology specialists and former members of accounting standards-setting bodies.