Financial Services Industry
We are your one source for Compliance Professionals in the Financial Services Industry.  Within the Financial Services industry there have been more regulation and laws put in place then any other industry. 

We understand how complicated it is to ensure that your firm meets all issued compliance requirements including some of the newer regulations defined below:

  • Gramm-Leach-Bliley Act (GLBA)
  • Gramm-Leach-Bliley Act Data Protection Act of 1999 (GLBA)
  • CA SB1386 and other state data protection laws
  • CA SB1386 and AB 1950, State Data Protection Laws
  • Identity Theft and Assumption Deterrence Act of 1998
  • The USA Patriot Act
  • Sarbanes-Oxley Act of 2002 (SOX)
  • NASD-NPI &PII
  • Basel II
  • European Union Privacy Directive
  • Payment Card Industry (PCI) Security Standards

As you dedicate your time to prepare for audits from Regulatory Agencies like the FDIC, OTS, NCUA, SEC, and FINRA, we can support you with many services and by providing you professionals with industry experience and a deep understanding the regulations and your needs.

Some of our Services and areas of Support are defined below:

  • Building a Current & Robust Quality System – Compliance Policy, Programs and Procedures (FDIC, OTS, OCC, NCUA, SEC, FINRA)
  • Process Maps of Compliance Requirements
  • Compliance Assessments - Identifying Risks, Gaps, Areas of Improvements
  • Internal and External Audits
  • Risk Management
  • Compliance Best Practices
  • Incident Management & Investigations
  • Corrective Action Plans
  • Sarbanes Oxley Compliance

Other Financial Services Support include:

  • Document Management
  • Executive Dashboards and Comprehensive Reporting


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Compliance, Services & Professionals