Banking and Risk Management Consultants
Bank Consulting in Entity Level Controls
Risk Management Consulting in Audit Committee Governance
Bank Consulting in Internal Audit Assessments
Risk Management Consulting in Credit & Market Risk Management
Bank Consulting in Regulatory & Compliance
Risk Management Consulting in Technology Controls
Bank Consulting in Accounting Process Controls
Risk Management Consulting in Specialized Services

 

Enterprise risk management requires a holistic approach.
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Bank Consulting in Regulatory & Compliance
Regulatory & Compliance
Regulatory and Compliance Support engagements are conducted by RLC to help Management and the Audit Committee assess the adequacy of the compliance program.

The Compliance Committee’s charter, scope, authorities, responsibilities, documentation, and approach to institutionalize compliance with regulatory and consumer law issuances are included in the scope of the engagement.

Management’s processes to test compliance, identify root causes of deficiencies, corrective actions taken, and processes to promote  individual accountability are also evaluated.
Warning Signs

Adversarial Relationship with Regulators

Incomplete List of Applicable Regulations

Manual Compliance Programs

Inadequate Testing Procedures

Insufficient Periodic Compliance Training

Numerous Consumer Complaints

Weak Process to Institutionalize Compliance

 

 

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