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Regulatory Compliance Services

Regulatory Compliance Risk Management

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Withum provides advisory and managed services solutions to financial institutions. We have in-depth experience in helping clients manage their regulatory compliance risk management programs. Our specialties include ensuring the integrity and effectiveness of complex technologies utilized to comply with BSA/AML & OFAC/Sanctions, as well as IT/Cybersecurity regulations and other rules and requirements.

Withum's Regulatory Compliance Services Include:

Managed Services and Governance

  • Lookback/Remediation – Remediation Project Management
  • Resource augmentation – Management and Staff
  • Compliance Testing
  • Compliance Program Risk Assessments
  • Staffing Analysis
  • Target Operating Models
  • NYS DFS Part 504 Compliance
  • Enhancement of Program Policy and Procedures

Model Validations and Independent Reviews

  • Model Validations
  • Model Reviews
  • Data Validations
  • System Calibrations & Implementations
  • Co-Sourced Audits Compliance

Information Technology and Cybersecurity

  • Strategy
  • Technology and Risk Assessments
  • Program Review/Gap Analysis
  • DFS Part 500
  • IT and Cyber Audits

Customized Solutions

Withum’s regulatory compliance consulting services combines the personalized boutique approach with the full competencies of Withum designed and executed by knowledgeable experts to meet the specific needs of your institution. Our focus is on understanding the holistic risks and challenges you face, so we can meet your needs in an efficient, cost-effective, and sustainable manner.

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