Consulting Services

Affordable, Expert Compliance Consulting Services

Regulatory compliance is more complex than ever. It takes an enterprise-wide effort to monitor diverse portfolios, multiple branches and third-party loan originators for ever-changing federal, state and municipal regulations. It’s a formidable task.

Managing risk is just as daunting. You’re up against forged documents, stolen identities, check kiting, falsified loan applications, rogue trading as well as loan approval and pricing problems. Fraud can involve employees, customers, third-party brokers and organized fraud rings; and it’s on the rise.

Find out where you stand and how to reduce your risk

Our expert team of former bank examiners, compliance officers and regulatory attorneys can provide you with exceptional insights and practical advice on a wide range of transaction-related or other specific issues. On-site we can examine your compliance and risk management programs and make specific recommendations according to your institution’s needs.

We assist financial institutions of all sizes and complexities by supplementing internal resources, or by providing complete, outsourced programs to alleviate your compliance burden.

Our consultants possess specialized financial services regulatory compliance knowledge gained on both sides of the table, as regulators and/or as compliance officers who have crafted and executed successful compliance programs. They know what regulators are looking for, the types of tests that are applied, and the acceptable solutions – all from first-hand experience.

Optimize your operations, compliance and risk management

Based on your institution’s unique needs and resources, our consulting team will help you create solutions that are tailored to your specific situation. These solutions may include process improvement, technology, or documentation.

Train your staff to become more productive and reduce your risk

Our consultants can also train your staff in regulatory and risk management best practices, Wiz technology, data collection processes, risk analysis, successful reporting and information sharing.

Outsource compliance and risk management to improve results without adding staff

You can also outsource all or any part of your compliance and risk management program to Wolters Kluwer Financial Services. We have the expertise and resources to provide services and training on an outsourced basis.

For more information on Consulting services, please click on one of the links at the right.