Financial Institution Regulatory Compliance

Jefferson Wells professionals are dedicated to serving the needs of financial institutions. Our local teams are supported by our global financial institutions practice, using methodologies and best practices to help you manage operational, compliance and credit risks. Our focus on knowledge transfer has produced exceptional results for clients both locally and globally.

Our services include:

• Assessing or developing a written compliance program, in accordance with the prescription of the agencies, addressing the elements of self-monitoring, policies and procedures, training and complaint resolution, to be administered by the institution
• Reviewing an existing compliance program for effectiveness
• Conducting periodic monitoring of products and services to determine level of compliance with applicable regulations
• Serving as an institution’s compliance function

We can also help you with other financial institution regulatory compliance issues including:

• FDICIA Documentation and Testing
• AML/BSA Compliance Reviews
• SOX Compliance
• Loan Review/Credit Quality Assessments
• Forensic Services